Section 3000.100  Definitions

 

For purposes of this Part the following terms shall have the following meanings:

 

"Act":  The Illinois Gambling Act [230 ILCS 10].

 

"Adjusted Gross Receipts": The gross receipts less winnings paid to wagerers.  The value of expired vouchers shall be included in computing adjusted gross receipts.

 

"Affiliate":  An "Affiliate of", or person "Affiliated with", a specified person shall mean a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, such person.

 

"Alcoholic Liquors":  Includes alcohol, spirits, wine and beer, and every liquid or solid, patented or not, containing alcohol, spirits, wine or beer, and capable of being consumed as a beverage by a human being.

 

"Attributed Interest":  A direct or indirect interest in a Business Entity deemed to be held by a person not through the person's actual holdings but either through the holdings of the person's relatives or through a third party or parties on behalf of the person pursuant to a plan, arrangement or agreement.

 

"Bill Validator":  Any electro-mechanical device attached either on or into an Electronic Gaming Device which accepts and analyzes the legitimacy of United States currency and/or Vouchers, validates the currency and/or Vouchers, stores the currency and/or Vouchers, and issues Electronic Credits equal to the value of currency and/or Vouchers inserted into the device.

 

"Board":  The Illinois Gaming Board.

 

"Business Entity":  A partnership, incorporated or unincorporated association or group, firm, corporation, limited liability company, partnership for shares, trust, sole proprietorship or other business enterprise.

 

"Chip":  A non-metal or partly metal representative of value, redeemable for cash, and issued and sold by a holder of an owners license or organization gaming license for use in Gaming other than in Electronic Gaming Devices on that holder's Gaming Operation.

 

"Chip Float":  The difference between the total face value of Chips received from vendors and the total face value of Chips accounted for through an inventory conducted by the Gaming Operation.

 

"Computer Monitoring System":  The gaming related system used to provide on-line, real-time monitoring of Electronic Gaming Devices and data acquisition capability in the format and media approved by the Administrator.

 

"Dependent":  Any individual who received over half of the individual's support in a calendar year from any other individual.

 

"Electronic Card":  A card purchased from a holder of an owners license or organization gaming license for use at that holder's Gaming Operation as a substitute for Tokens in the conduct of gaming on an Electronic Gaming Device.

 

"Electronic Credit":  A value owed to a patron on an Electronic Gaming Device.

 

"Electronic Gaming Device" or "EGD":  Includes as approved Games under Section 3000.605 Single- and Multiple-Position Reel-Type, Single- and Multiple-Position Single-Game Video and Single- and Multiple-Position Multi-Game Video Electronic Gaming Devices.

 

"Electronic Gaming Device Drop":  The total face value of Tokens or representations of Tokens (including without limitation foreign Tokens and slugs) collected from the drop bucket and United States currency and/or Vouchers collected from the Bill Validator drop box.

 

"Electronic Gaming Device Win":  The Electronic Gaming Device Drop minus hand-paid jackpots minus hopper fills minus Vouchers issued.

 

"EPROM":  An acronym for Erasable, Programmable, Read Only Memory, which is a microprocessor component that stores memory and affects payout percentage and/or contains a random number generator that selects the outcome of a Game on an Electronic Gaming Device.

 

"Excluded Person":  Any person whose name appears on any Exclusion List, or any person whose name does not appear on an Exclusion List but who is excluded or ejected pursuant to Section 5(c)(12) of the Act or as a result of meeting one or more of the criteria in Section 3000.720 of this Part.

 

"Exclusion List":  A list or lists which contain the identities of persons who are to be excluded or ejected from any licensed Gaming operation in any jurisdiction.  The list may include any person whose reputation or conduct is such that the person's presence within a Gaming Operation may, in the opinion of the Board or the Administrator, call into question the honesty or integrity of the Gaming Operation or pose a threat to the interests of the State of Illinois.

 

"Expiration Date":  The one-year period, starting on the day of issuance, during which Vouchers may be redeemed for United States currency at a cashier cage of a Gaming Operation.

 

"Game":  A gambling activity which is played for money, property, or anything of value, including without limitation those played with cards, Chips, Tokens, dice, implements, or electronic, electrical, or mechanical devices or machines.

 

"Gaming":  The dealing, operating, carrying on, conducting, maintaining or exposing for play of any Game.

 

"Gaming Equipment/Supplies":  A machine, mechanism, device, or implement which is integral to the operation of a Game or affects the result of a Game by determining win or loss, including without limitation:  electronic, electrical, or mechanical devices or machines; cards or dice; layouts for Live Gaming Devices; any representative of value used with any Game, including without limitation Chips, Tokens, or Electronic Cards; Voucher Systems; Voucher Printers; Voucher Validation Terminals; Computer Monitoring Systems; and hardware and software related to any item described in this Part.

 

"Gaming Operation":  The owners licensee, organization gaming licensee or, as the context requires, the conducting of gaming and all related activities, including without limitation the purveying of food, beverages, retail goods and services, and transportation, at a casino, an organization gaming facility or on a Riverboat and at its Support Facilities.

 

"Gaming Operations Manager":  A person or business entity other than the holder of an owners license or organization gaming license who has the ultimate responsibility to manage, direct or administer the conducting of Gaming.

 

"Gaming Station":  Each individual portion of any Electronic Gaming Device where a patron can engage in wagering, characterized by at least one of the following features: an interactive display or controls, a bill acceptor, a voucher printer, or a means for tracking credits available to be wagered by the patron.

 

"Hand":  Either one Game in a series, one deal in a card Game, or the cards held by a player.

 

"Indirect Interest":  An interest in a Business Entity that is deemed to be held by the holder of an owners license or organization gaming license not through the holder's actual holdings in the business entity but through the holder's holdings in other business entities.

 

"Institutional Investor":  A "qualified institutional buyer" as defined by Securities and Exchange Commission Rule 144A (17 CFR 230.144A) under the Securities Act of 1933 (15 U.S.C. 77a).

 

"Internal Control System":  Proprietary internal procedures and administration and accounting controls designed by the holder of an owners license or organization gaming license for the purpose of exercising control over the Gaming Operation.

 

"Junketeer":  A person or entity that facilitates a patron's participation in gaming at a Gaming Operation and is compensated, not as an employee but as an independent contractor, by that Operation based upon how much the patron actually wagers or loses.

 

"Key Person":  A Person identified by the Board under Section 3000.222 as subject to regulatory approval as a Person able to control, or exercise significant influence over, the management, assets, or operating policies of an owners, organization gaming or supplier licensee.

 

"Live Gaming Device":  Any apparatus, other than an Electronic Gaming Device, upon which Gaming is conducted or which determines an outcome which is the object of a wager.  This definition includes but is not limited to roulette wheels, keno machines, punchboard tickets and tables with layouts utilized in Games approved by the Board.

 

"Marketing Agent":  A person or entity, other than a junketeer or an employee of a Gaming Operation, who is compensated by the Gaming Operation in excess of $100 per patron per trip for identifying and recruiting patrons.

 

"Non-Alterable Storage Media":  An electronic storage medium that contains the program files that operate the game, which medium cannot be altered through the use of the circuitry or programming of the gaming device.

 

"Non-Value Chip":  A Chip, clearly and permanently impressed, engraved or imprinted with the name of the Gaming Operation, but bearing no value designation.

 

"Notice of Board Action":  A Notice of Denial, Restriction, Suspension, Revocation, Nonrenewal, Fine, Exclusion or other action issued by the Board.

 

"Organization Gaming Facility": That portion of an organization licensee's racetrack facilities at which gaming authorized under Section 7.7 of the Act is conducted, including both the publicly accessible gaming area and restricted access areas, including but not limited to cashier cages, count rooms, surveillance rooms, and gaming equipment storage and repair areas.

 

"Parent Company":  A "parent company" of a specified person is an affiliate controlling such person directly, or indirectly through one or more intermediaries.

 

"Payout":  Winnings earned on a wager.

 

"Person":   includes both individuals and Business Entities.

 

"Petitioner":  An applicant, licensee or Excluded Person who requests a hearing upon issuance of a Notice of Board Action.

 

"Progressive Controller":  The hardware and software that controls all communications among the machines within a progressive Electronic Gaming Device link and its associated progressive meter.

 

"Progressive Jackpot":  An award for winning play in a Game, the value of which is determined by the contribution of a portion of each Wager placed into play or the combined amount of several wagers linked to a common jackpot award.

 

"Redemption Period":  The 120-day period during which a Voucher may be used to acquire electronic credits from an Electronic Gaming Device or to obtain United States currency from a Voucher Validation Terminal.  After their Redemption dates and prior to their Expiration dates, Vouchers may be redeemed for United States currency only at a cashier cage of a Gaming Operation.

 

"Relative":  Spouse, parents, grandparents, children, siblings, uncles, aunts, nephews, nieces, fathers-in-law, mothers-in-law, sons-in-law, daughters-in-law, brothers-in-law, and sisters-in-law, whether by the whole or half blood, by marriage, adoption or natural relationship, and Dependents.

 

"Remote Access":  Communication with an electronic information system from a remote location or facility through a data link.

 

"Riverboat":  A navigable vessel or a permanently moored vessel comprised of one or more barges that are permanently attached to operate as one barge.  Except as appropriate by context, all references to riverboats in this Part apply to casinos and organization gaming facilities as well.

 

"Riverboat Gaming Operation":  The owners licensee, Gaming Operations Manager, or, as the context requires, the conducting of Gaming and all related activities, including without limitation the purveying of food, beverages, retail goods and services, and transportation, on a Riverboat and at its Support Facilities.  Except as appropriate by context, all references to Riverboat Gambling Operations in this Part apply to all Gaming Operations.

 

"Signature":  The definitive identity of an individual specific EPROM chip or other non-alterable storage media, determined by electronic analysis and reflective of the EPROM chip's game behavior capability.

 

"Substantial Owner":  A person who has an ownership interest of 25% or more in a Business Entity.

 

"Supplier":  A provider of Gaming Equipment/Supplies, Gaming Equipment maintenance or repair services, security services or a lessor of a Riverboat, dock, casino or organization gaming facility.

 

"Support Facility":  A place of business that is part of, or operates in conjunction with, a Gaming Operation of an owners licensee and is owned in whole or in part by a holder of an owners or suppliers license or any of their Key Persons, including, without limitation, Riverboats, offices, docking facilities, casinos, parking facilities and land-based hotels or restaurants.

 

"Table Drop":  The total amount of cash or cash equivalents contained in the drop box for Chips purchased at a Live Gaming Device.

 

"Table Win":  The dollar amount won by the holder of an owners license through play at a live Game which is the total of the Table Drop plus ending Chip inventory plus credits minus opening Chip inventory minus fills.

 

"Theoretical Payout Percentage":  The percentage of Tokens or Electronic Credits from amounts wagered that will be returned to players by an Electronic Gaming Device.

 

"Token":  A metal representative of value, redeemable for cash only at the issuing Gaming Operation, and issued and sold by a holder of an owners license or organizational gaming license for use in Gaming.

 

"Token Dispenser":  Any mechanical or electrical device designed for the purpose of dispensing an amount of Tokens equal to the amount of currency inserted into the device.

 

"Token Float":  The difference between the total face value of Tokens received from vendors and the total face value of Tokens accounted for through an inventory conducted by the Gaming Operation.

 

"Tournament EPROM":  A specially designed EPROM with a mode of play that provides for a mathematically demonstrable payout of more than 100 percent.

 

"Value Chip":  A Chip, clearly and permanently impressed, engraved or imprinted with the name of the Gaming Operation and the specific value of the Chip.

 

"Video Game of Chance": As used in the Act, means an Electronic Gaming Device.

 

"Voucher":  A printed paper scrip representing the value in United States currency stated on the face of the scrip that is:

 

issued by a Voucher Printer connected to an Electronic Gaming Device or at a cashier cage at a Gaming Operation; and

 

redeemable for electronic credits or United States currency and is not a coupon or other promotional item.

 

"Voucher Float":  The difference between the total face value of unexpired Vouchers issued by a Gaming Operation and the total face value of Vouchers accounted for by the Gaming Operation as redeemed or expired.

 

"Voucher Printer":  A device designed for the purpose of issuing Vouchers at Electronic Gaming Devices or at a cashier cage at a Gaming Operation.

 

"Voucher System":  The hardware and software used to issue and validate Vouchers, record redemptions and account for Vouchers.

 

"Voucher Validation Terminal":  A hard-wired and interfaced device that accepts Vouchers and communicates the Voucher information to the Voucher System for the System to validate the information.  If the System confirms that the Voucher is valid, the terminal then stores the Voucher and issues United States currency equal to the value of the Voucher.

 

"Wager":  A sum of money or thing of value risked.

 

(Source:  Amended at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.101  Invalidity

 

If any part of these Rules shall be held by a court of competent jurisdiction to be invalid, such holding shall not affect the remaining parts hereof.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.102  Public Inquiries

 

Requests for information from the Board shall be directed to the Board's Public Information Officer.  All requests seeking information pursuant to the Illinois Freedom of Information Act [5 ILCS 140] or Section 5.1 of the Act must be made in writing and directed to the Board's Public Information Officer. A denial of a written request for information made pursuant to this Section may be appealed by submitting a written request for review to the Administrator.  Data that will be disseminated includes but is not limited to the following:

 

a)         information the disclosure of which is required by Section 5.1 of the Act;

 

b)         information the disclosure of which is required by the Illinois Freedom of Information Act and not prohibited by the Act;

 

c)         information regarding the identities of beneficiaries of trusts that possess an ownership interest in the holder of an Owner's License, except where the beneficiary is a lineal descendant of or the spouse of a lineal descendant of the parents of the settlor of the trust.  A lineal descendant shall include a step-child and an adopted child; and

 

d)         information regarding whether a person's ownership interest in the holder of an Owner's License exceeds five percent.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.103  Organization of the Illinois Gaming Board

 

The Board consists of five members who have been appointed to three year terms by the Governor with the advice and consent of the Senate.  The Board holds a meeting at least once each quarter of the fiscal year.  The Board appoints an Administrator who performs all duties assigned by the Board, including the daily administration of the Board's responsibilities.  The Board may utilize the services of the Department of State Police to fulfill its responsibilities under the Act.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.104  Rulemaking Procedures

 

The Board's rules shall be promulgated in a manner consistent with the Illinois Administrative Procedure Act [5 ILCS 100] and the rules adopted thereunder.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.105  Board Meetings

 

a)         The Board makes all of its decisions on adjudicatory cases and regulatory matters at public meetings of the Board noticed and held in accordance with the Open Meetings Act [5 ILCS 120].  The Board holds closed meetings pursuant to Section 2a of the Open Meetings Act [5 ILCS 120/2a].

 

b)         Final decisions of the Board may be made only at meetings held when a quorum, constituted by three members of the Board, is present.  Three affirmative votes are required for any final decision of the Board.  The presence of a quorum is required at a meeting in order for the Board to transact any business, perform any duty, or exercise any power that the Riverboat Gambling Act [230 ILCS 10] requires the Board to transact, perform or exercise en banc.

 

c)         A Board member shall be counted toward determining a quorum by being present in a public building, which may include one of the Board offices, and participating in the meeting through an interactive video conference, provided the Board gives public notice and public access for all locations in which participating Board members are present. (See Section 2.01 of the Open Meetings Act [5 ILCS 120]).

 

d)         Board Member Attendance

 

1)         If a quorum of the members of the Board is physically present, a majority of the Board may allow a Board member to attend that meeting by video or audio conference if the member is prevented from physically attending because of:

 

A)        personal illness or disability;

 

B)        employment purposes or the business of the public body; or

 

C)        a family or other emergency.

 

2)         If a member wishes to attend a meeting by audio or video conferencing the member must notify the Board or its designated staff before the meeting unless advance notice is impractical.  (Section 7 of the Open Meetings Act).

 

3)         In the event a Board member is present telephonically, the public session of such a meeting will be broadcast over a speakerphone that is open to the public at the Board meeting location.

 

e)         Section 5(b)(8) of the Riverboat Gambling Act [230 ILCS 10/5(b)(8)] requires the Board to meet at least once during each quarter of the fiscal year and allows the Board to hold other meetings pursuant to the Open Meetings Act.  The Chairman or any 2 members of the Board may call a special meeting of the Board upon giving 72 hours written notice to each Board member.

 

f)         Requests for Board action initiated by licensees shall be given initial consideration by the Board at one meeting and be given final consideration by the Board at a subsequent meeting.  However, upon motion, the Board may give immediate consideration to the action request.

 

g)         Members of the public shall be permitted to address the Board during the open portion of a Board meeting on matters relevant to the Board's functions, subject to the significant government interests of conserving time, ensuring that others have the opportunity to speak, and preserving decorum.  The comments by each member of the public shall be limited to a reasonable period of time, not to exceed five minutes unless the Board gives permission. Members of the public shall provide at least 2 days' notice of intent to address the Board, unless the Board diminishes or waives this notice requirement. (See Section 2.06(g) of the Open Meetings Act.)

 

h)         Any person shall be permitted to photograph, tape, film or otherwise record the open portions of Board meetings.  Persons may be required to locate their cameras or other recording devices at a sufficient distance from the Board members as is necessary to avoid interference with the Board's discussion.  (See Section 2.05 of the Open Meetings Act.)

 

i)          The provisions of this Section also apply to public meetings of the Board in which matters relating to video gaming under the Video Gaming Act [230 ILCS 40] are considered.

 

(Source:  Amended at 39 Ill. Reg. 12312, effective August 18, 2015)

 

Section 3000.106  Code of Conduct

 

The purpose of this Code of Conduct is to assure, to the maximum extent possible, that persons subject to this Code avoid situations, relationships or associations that may lead to or represent an actual or potential conflict of interest.

 

a)         Policy and Application

 

1)         Definitions

For purposes of this Section, the following terms shall have the following meanings:

 

"Applicant":  Any person that has submitted an application or has publicly expressed an intent to submit an application for licensure under the Illinois Gambling Act, Video Gaming Act, or Sports Wagering Act [230 ILCS 45].

 

"Covered Person":  Any of the following:

 

            Applicants;

 

            Licensees;

 

            Affiliates of an applicant or licensee;

 

            Persons with significant influence or control of an applicant or licensee as defined in 11 Ill. Adm. Code 1800.110;

 

            Key Persons of an applicant or licensee; or

 

            Representatives of persons or entities included in this definition.

 

"Employee":  Any person employed full-time, part-time, or pursuant to a contract of any kind and whose employment duties are subject to the direction and control of the Board with regard to the material details of how the work is to be performed, including any State employees detailed or assigned to the Board from other State entities, contract employees, and independent contractors in the service of the Board.

 

"Licensee":  Any person who holds a license issued pursuant to the Illinois Gambling Act, Video Gaming Act, or Sports Wagering Act.

 

2)         Members and employees of the Board are to discharge their duties and responsibilities with undivided loyalty to the Board and in such a manner as to promote and preserve public trust and confidence in the integrity of the conduct of gaming and in the integrity and impartiality of the Board.

 

3)         No Board member or employee shall use or attempt to use his or her official position to secure, or attempt to secure, any privilege, advantage, favor or influence for himself, herself or others.

 

4)         Members and employees of the Board shall bear responsibility for adherence to the provisions of this Code of Conduct.

 

5)         Provisions of this Code of Conduct applying to relatives or household members of an employee or Board member apply regardless of the nature of the relationship, including, but not limited to, relationships by blood, marriage, adoption or other relationship.

 

6)         When evaluating the circumstances of a violation or potential violation of this Code of Conduct by a relative or household member of a Board member or employee, the level of influence held by the Board member or employee over that relative or household member shall be considered.

 

b)         Conflict of Interest

 

1)         Board members and employees and their respective spouses, domestic partners, boyfriends, girlfriends, parents, children and household members shall have an affirmative duty to avoid relationships that may cause or have the appearance of causing an actual or potential conflict of interest.

 

2)         A "conflict of interest" means a situation in which a Board member's or a Board employee's private interest, whether personal, financial or otherwise, influences, or creates the appearance that it may influence, the Board member's or employee's judgment in the performance of his or her regulatory duties and responsibilities to act in a fair and impartial manner.

 

c)         Gambling

 

1)         Except as may be required in the conduct of official duties, Board members and employees shall not engage in gambling conducted under the Illinois Gambling Act, Video Gaming Act, Sports Wagering Act, or Illinois Horse Racing Act of 1975 [230 ILCS 5].

 

2)         Board members and employees shall not engage in any other legalized gambling identified by Board action that, in the judgement of the Board, could represent a potential for, or the appearance of, a conflict of interest.

 

d)         Outside Employment

 

1)         Board members and employees shall not hold or pursue employment, office, position, business or occupation that may conflict with the official duties of that Board member or employee.

 

2)         Employees may engage in other gainful employment that does not interfere or conflict with their duties, provided that the employment is disclosed to the Administrator and the Board and approved by the Board or, as delegated, by the Administrator.

 

3)         Disclosure of outside employment must be made at the time of appointment to the Board or at the time the employee is hired to work for the Board or prior to accepting the outside employment.

 

4)         Any Board member who discloses outside employment to the Board shall recuse himself or herself from any discussion and decision made by the Board relative to his or her outside employment.

 

5)         Outside employment that, despite recusal from Board action and discussion, presents recurring or continuing possibilities for potential or actual conflicts of interest shall be grounds for removal from the Board under Section 5(a)(6) of the Act.

 

6)         No Board member shall hold any other public office.

 

e)         Restrictions on Receiving Gifts

 

1)         Board members and employees and their spouses, domestic partners, boyfriends or girlfriends, children, parents, and household members may not, directly or indirectly, accept any gift, gratuity, service, compensation, travel, lodging, or thing of value from a covered person, with the exception of unsolicited items of an incidental nature.

 

2)         This prohibition may be extended by Board action to any person who, in the judgment of the Board, could represent a potential for, or the appearance of, a conflict of interest.

 

f)         Prohibition on Holding or Acquiring Ownership

 

1)         Board members and employees of the Board, their spouses, domestic partners, boyfriends or girlfriends, children, parents, and household members may not, directly or indirectly, hold or acquire, or cause or encourage any other person to acquire, any actual or contingent form of ownership interest or other financial interest in a covered person.

 

2)         The prohibition in subsection (f)(1) may extend to the holding or acquisition of an interest in any entity identified by Board action that, in the judgment of the Board, could represent the potential for, or the appearance of, a conflict of interest.

 

3)         The holding or acquisition of an interest in these entities through an indirect means (e.g., through a mutual fund) shall not be prohibited, except that the Board may identify specific investments or funds that, in its judgment, are so influenced by gaming holdings as to represent the potential for, or the appearance of, a conflict of interest.

 

4)         Every Board member, Board employee, and spouse or immediate family member living with that person shall be subject to applicable provisions of Section 5-45 of the State Officials and Employees Ethics Act [5 ILCS 430] (the "revolving door prohibition") for a period of two years immediately after termination of Board appointment or employment.

 

g)         Prohibition of Economic Association

 

1)         Notwithstanding subsections (d)(4) and (5), Board members and employees of the Board and their spouses, domestic partners, boyfriends, girlfriends, children, parents, and household members shall not have an economic association with a covered person or any race track, racing association, or any person engaged in the conducting of horse racing in the State of Illinois.

 

2)         An "economic association" shall mean any current economic relationship, direct or indirect, representing the potential for, or the appearance of, an actual or potential conflict of interest that may exist between a Board member or Board employee and a covered person.

 

3)         The prohibition of economic association provided by this subsection (g) may be extended to any person identified by Board action that, in the judgment of the Board, could represent the potential for, or the appearance of, a conflict of interest.

 

4)         This prohibition on economic association may by waived by Board action for a spouse, domestic partner, boyfriend, girlfriend, child, parent, or household member of an employee of the Board.

 

h)         Disclosure of Economic Association

 

1)         Each Board member who owns or is employed by a firm or business entity shall, to the best of his or her ability, identify any economic association with any covered person.

 

2)         Subject to the prohibition contained in subsection (g)(1), the Board member shall declare his or her intention to refrain from deliberations and voting on questions related to the gaming entity or individual in that economic association. This requirement may be extended by Board action to any person who, in the judgment of the Board, could represent the potential for, or the appearance of, a conflict of interest.

 

3)         Board members shall refrain from working on any gaming-related matters on behalf of any person with whom the Board member has an economic association.

 

i)          Recusal Process

 

1)         Board member duties of disclosure and recusal are ongoing.

 

2)         In advance of each Board meeting, and before engaging in any deliberations or voting, Board members must review lists provided by Board staff of all persons and locations that will come before the Board, at the upcoming Board meeting, for consideration for licensure, discipline or any other action. This review will assist the members in determining whether recusal from a particular Board deliberation or vote is required.

 

3)         To the extent practicable, each Board member who owns or is employed by a firm or entity shall employ a conflict check process, subject to approval by the Administrator, to determine whether any existing or new firm or entity client is, or has become, a covered person. This process will assist the Board member in discharging his or her disclosure and recusal duties.

 

j)          Restrictions on Professional Service Agents

 

1)         Professional service agents of the Board may be subject to terms and conditions relating to restrictions or prohibitions in representation, employment and contracting with licensees, applicants, their affiliates, persons with significant influence and control, Key Persons, and their representatives. These restrictions and prohibitions shall be contained in the professional service contracts of the Board.

 

2)         For purposes of this subsection (j), professional service agents of the Board include any person, corporation or organization providing legal, accounting, financial, public relations, auditing, architectural, data processing, or management consulting services.

 

k)         Disclosure Statements.  Board members and employees shall complete and timely file the Statement of Economic Interest required by Article 4A of the Illinois Governmental Ethics Act [5 ILCS 420], a copy of which shall be provided to the Administrator.

 

l)          Post-Board Affiliation or Employment.  Every Board member, Board employee, and their spouse or immediate family members shall be subject to all applicable provisions of Section 5-45 of the State Officials and Employees Ethics Act [5 ILCS 430] (the "revolving door prohibition") for a period of one year after termination of Board appointment or employment.

 

m)        Violations

 

1)         Violation of this Code of Conduct by a member of the Board may result in sanctions up to and including removal from the Board.

 

2)         Violation of this Code of Conduct by an employee or agent of the Board may result in discipline up to and including termination.

 

(Source:  Added at 44 Ill. Reg.11156, effective June 17, 2020)

 

Section 3000.110  Disciplinary Actions

 

a)         A holder of any license shall be subject to imposition of fines, suspension or revocation or restriction of such license, or other disciplinary action for any act or failure to act by himself or by his agents or employees that is injurious to the public health, safety, morals, good order and general welfare of the people of the State of Illinois, or that would discredit or tend to discredit the Illinois Gaming industry or the State of Illinois.  Without limiting the foregoing, the following acts or omissions may be grounds for such discipline.

 

1)         Failing to comply with or make provision for compliance with the Act, these rules, an owner licensee's Internal Control System or any federal, state or local law or regulation.

 

2)         Failing to comply with any order or ruling of the Board or its agents pertaining to a Riverboat Gaming Operation.

 

3)         Receiving goods or services from a person or business entity who does not hold a Supplier's License but who is required to hold such license by these rules.

 

4)         Being suspended or ruled ineligible or having a license revoked or suspended in any state or Gaming jurisdiction.

 

5)         Associating with, either socially or in business affairs, or employing persons of notorious or unsavory reputation or who have extensive police records, or who have failed to cooperate with any officially constituted investigatory or administrative body and would adversely affect public confidence and trust in Gaming.

 

6)         Failing to establish and maintain standards and procedures designed to prevent ineligible or unsuitable persons from being employed by the licensee, including any person known to have been found guilty of cheating or using any improper device in connection with any Game.

 

7)         Failing to promulgate an approved Internal Control System.

 

8)         Any reason set forth in Section 3000.241(d) or resulting from an event set forth under Section 3000.243.

 

9)         Aiding and abetting a violation by a Board member or employee, or other government official, of ethical requirements established by statute, resolution, ordinance, personnel code or code of conduct.

 

b)         An employee whose employment at a Riverboat Gaming Operation has been terminated is subject to revocation of license for any act or failure to act which occurred while employed at any Riverboat Gaming Operation.

 

c)         A person who has had his or her license revoked by the Board may not reapply for a license without permission from the Board.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.115  Records Retention

 

a)         All holders of Owner's licenses or Supplier's licenses shall maintain in a place secure from theft, loss or destruction adequate records of business operations which shall be made available to the Board upon request.  These records shall be held for at least as long as prescribed by the periodically published Records Retention Schedule, or longer if otherwise prescribed by general accounting and auditing procedures, litigation needs, or state or federal law.  These records shall be maintained in a manner accessible to the Board or as otherwise prescribed by the Board.

 

b)         A holder of an Owner's license, in such manner and for such time period as the Administrator may approve or require, shall keep accurate, complete and legible records of any books, records or document pertaining to, prepared in, or generated by the Riverboat Gaming Operation, regardless of physical form or characteristics or subject matter, including, but not limited to, all forms, reports, accounting records, ledgers, subsidiary records, computer maintained and generated data, internal audit records, internal control records, copies of all promotional material and advertising, correspondence and personnel records.

 

1)         The Administrator shall publish and periodically update the Retention Schedule for records to be held by a holder of an Owner's License.

 

2)         The ownership records shall be maintained as provided in Section 3000.1000.

 

3)         The accounting records shall be maintained as provided in Section 3000.1010.

 

c)         All records shall be organized and indexed in such a manner to provide immediate accessibility to agents of the Board.

 

d)         No original book, record or document required to be maintained by this Section may be destroyed by a holder of an Owner's or Supplier's License prior to the scheduled retention date without prior approval of the Administrator.

 

(Source:  Amended at 25 Ill. Reg. 94, effective January 8, 2001)

 

Section 3000.120  Place to Submit Materials

 

Unless otherwise required, all forms, fees, documents, papers, and other materials to be submitted to the Board shall be submitted to the Board's office in Chicago, Illinois.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.130  No Opinion or Approval of the Board

 

Any action of the Board relating to an applicant or a licensee shall not indicate or suggest that the Board has considered or passed in any way on the merits or qualifications of the applicant or licensee, their prospects or Key Persons, their marketability or the marketability of their securities, or any other matter, other than their suitability for licensure under the Act.

 

Section 3000.140   Duty to Disclose Changes in Information

 

a)         Board licensees and applicants for licenses issued by the Board shall have a continuing duty to disclose promptly any material changes in information provided to the Board.  The duty to disclose changes in information shall continue throughout any period of licensure granted by the Board.  Board licensees or applicants for licenses must maintain current release of information forms as originally submitted to the Board.

 

b)         In addition to and without limiting disclosure of changes of information required under subsection (a), licensees and applicants for licensure shall periodically disclose changes in or new agreements, whether oral or written, relating to:

 

1)         Lobbying, legal services, financial consulting services, and management consulting services;

 

2)         Accounting, data processing and other financial and administrative services;

 

3)         Construction contracts;

 

4)         Installation, accounting or operation of Voucher Systems;

 

5)         Installation, accounting or operation of Computer Monitoring Systems;

 

6)         Agreements with or involving Key Persons and relatives of Key Persons;

 

7)         Agreements to sell, grant, gift, pledge, hypothecate or otherwise transfer or share an ownership interest or interests in a holder of an Owner's License; and

 

8)         Agreements to sell, grant, gift, pledge, hypothecate or otherwise transfer or share stock options, warrants, stock appreciation rights, or agreements in lieu thereof, relating to an ownership interest or interests or benefits of such ownership interest or interests in a holder of an Owner's License.

 

c)         Updating Criminal History Information and Penalties

 

1)         In addition to, and without limiting disclosure of, changes of information required under subsection (a), licensees and applicants for licensure shall

periodically and promptly disclose changes relating to criminal arrest or criminal proceeding disposition history, whether charged or not charged, concerning any criminal offense under the laws of any jurisdiction or Uniform Code of Military Conduct, in any state or foreign country, including any arrest or disposition that has been expunged or sealed. 

 

2)         The Administrator may impose the following fines as disciplinary action for any violation of this subsection (c): $250 for a first violation and $500 for a second violation. For each subsequent violation, the fine imposed by the Administrator shall increase by $250.  These fines may be imposed in conjunction with additional or further disciplinary action taken against a licensee.  Payment of the fine shall be due within 21 days after service is complete, unless the licensee timely files an answer requiring the appointment of a hearing officer. 

 

d)         The failure to meet the requirements of subsection (a), (b) or (c) may result in discipline up to and including revocation of a license.

 

(Source:  Amended at 37 Ill. Reg. 12050, effective July 9, 2013)

 

Section 3000.141  Applicant/Licensee Disclosure of Agents

 

Any individual or entity acting on behalf of an applicant or licensee, for compensation, with regard to Board action shall promptly be identified to the Board by both the applicant or licensee and the individual or entity acting on their behalf.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.150  Owner's and Supplier's Duty to Investigate

 

a)         Job Applicants.  The holder of an Owner's or Supplier's license shall investigate the background and qualifications of all applicants for jobs which its employees will perform at a Riverboat Gaming Operation.  Licensure by the Board may not be relied on as the sole criterion for hiring a job applicant.

 

b)         Marketing Agents.

 

1)         The holder of an Owner's license shall investigate the background of Marketing Agents with whom it intends to have a contractual relationship or enter into an agreement;

 

2)         The holder of an Owner's license has an affirmative duty to avoid agreements or relationships with Marketing Agents whose background or association is injurious to the public health, safety, morals, good order and general welfare of the people of the State of Illinois, who threaten the integrity of Gaming in Illinois or who discredit or tend to discredit the Illinois Gaming industry or the State of Illinois;

 

3)         The holder of an Owner's license shall receive the prior approval of the Administrator for use of each Marketing Agent; and

 

4)         Any agreement between the holder of an Owner's license and a Marketing Agent shall contain a cancellation clause that allows termination of the agreement in the event that the Administrator or holder of an Owner's license finds that the contractual relationship fails to meet the requirements of this subsection (b).

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.155  Investigatory Proceedings

 

a)         The Administrator, when necessary, may conduct proceedings for the purpose of investigating an applicant or application, a licensee or third party for an alleged violation of the Act, Board Rules, or the conduct of Gaming on a Riverboat Gaming Operation.

 

b)         The Administrator may require an applicant, licensee or a key person of a licensee to testify or to produce relevant documents, records or other materials at a proceeding conducted under this Rule.

 

c)         The Administrator may issue subponeas for the attendance of witnesses or subponeas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this rule.

 

d)         All testimony at proceedings conducted under this Rule shall be given under oath or affirmation.

 

Section 3000.160   Duty to Report Misconduct

 

The holder of an Owner's or Supplier's License or an Occupational License, Level 1 shall cause to be reported to the Administrator or to any other Board agent designated by the Administrator any facts which the licensee has reasonable grounds to believe indicate a violation of law (other than minor traffic violations), Board Rule or a holder's Internal Controls committed by a licensee or an employee of a licensee, including without limitation the performance of licensed activities different from those permitted under their license.  The holder of an Owner's or Supplier's License, or an Occupational License, Level 1, shall also cause to be reported to the Administrator or his designee any facts the licensee has reasonable grounds to believe indicate a violation has been committed by a patron of a Riverboat Gaming Operation of Article 28 of the Criminal Code of 1961 [720 ILCS 5/28] or the Act, or indicate the commission of any other crime by a patron while on the premises of the Owner Licensee.  Unless otherwise determined by the Board, all reports required by this Section shall be confidential.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.161  Communication with Other Agencies

 

The Administrator is authorized to disclose to the appropriate federal or state government entity any facts that tend to indicate a violation of federal or state law.

 

Section 3000.165  Participation in Games by Owners, Directors, Officers, Key Persons or Gaming Employees

 

No holder of an Owner's license or officer, director, Key Person or Gaming employee thereof shall play or be permitted to play any Game at his facility.  No such person shall be permitted to purchase or redeem Chips or Tokens for, acquire or redeem Vouchers for, or acquire Vouchers from, any other person, except that a Voucher forfeited by a self-excluded person pursuant to Section 3000.756(a) shall be inventoried pursuant to Section 3000.770(e) and redeemed by the Owner Licensee.  The proceeds of the forfeited Voucher shall be accounted for and donated in accordance with Section 3000.756(b).

 

(Source:  Amended at 29 Ill. Reg. 10590, effective July 7, 2005)

 

Section 3000.170  Fair Market Value of Contracts

 

No holder of an Owner's License shall enter into a contract relating to its licensed activities for consideration in excess of fair market value.

 

Section 3000.175  Human Trafficking Recognition Training, Reporting, and Signage

 

a)         Human Trafficking Recognition Training

 

1)         Each owners licensee and organization gaming licensee shall provide its employees with training in the recognition of human trafficking and protocols for documenting, reporting, and responding to instances of suspected human trafficking within the licensee's gaming and non-gaming areas.

 

2)         Each owners licensee and organization gaming licensee employee must complete the training within three months after beginning employment with the licensee and every one year thereafter while employed by the licensee.

 

3)         An owners licensee or organization gaming licensee may use its own human trafficking training curriculum or that of a third party so long as the training curriculum includes, at a minimum, all of the following:

 

A)        a definition of human trafficking, including the differences between sex trafficking and labor trafficking;

 

B)        an explanation of the individual and societal factors that make a person susceptible to human trafficking;

 

C)        the differences between the forms of human trafficking as they relate to casinos, hotels, and other hospitality settings;

 

D)        an explanation and guidance on how to identify red flags that indicate a person might be in a human trafficking situation with particular emphasis on human trafficking in casinos, hotels, and other hospitality settings;

 

E)        instruction and protocols on the role of the employees of an owners licensee or organization gaming licensee in recognizing, documenting, reporting, and responding to suspected instances of human trafficking, including specific training based on the employee's job duties and access within the licensee's gaming and non-gaming areas;

 

F)         identification of agencies that provide services to victims of human trafficking; and

 

G)        any additional requirements the Administrator may identify.

 

b)         Protocols for Documenting, Reporting, and Responding to Suspected Human Trafficking

 

1)         Each owners licensee and organization gaming licensee shall establish and implement protocols for its employees to follow for documenting, reporting, and responding to suspected instances of human trafficking within the licensee's gaming and non-gaming areas.

 

2)         The protocols shall be tailored for employees based on their job duties and access within the licensee's gaming and non-gaming areas.

 

c)         Each owners licensee and organizational gaming licensee shall provide copies of its human trafficking training curriculum and protocols, including all updates and revisions, to the Administrator.

 

d)         Human Trafficking Awareness Signage

 

1)         Each owners licensee and organization gaming licensee shall post human trafficking awareness notices informing the public and victims of human trafficking of telephone hotline numbers and other information about how to seek help or report instances of human trafficking. Licensees shall place the human trafficking awareness notices in bathrooms and a conspicuous place near the public entrance of the establishment or in another conspicuous location in clear view of the public and employees where similar notices are customarily posted.

 

2)         The text of the human trafficking awareness notice must, at a minimum, be materially consistent with the model notice developed by the Illinois Department of Human Services in compliance with the Human Trafficking Resource Center Notice Act [775 ILCS 50/10] and applicable rules.

 

(Source:  Added at 49 Ill. Reg. 6960, effective May 1, 2025)

 

Section 3000.180  Weapons on Riverboat

 

The only individuals that may carry a weapon on a riverboat are Board agents, Illinois State Police officers, peace officers on duty within their jurisdictions, and such other persons as may be authorized by the Board, the Administrator or agents of the Board designated by the Administrator.

 

(Source:  Amended at 26 Ill. Reg. 15296, effective October 11, 2002)

 

Section 3000.190  Ethical Conduct

 

a)         For the purposes of Section 5.3(j) of the Act and this Section, the following terms shall have the following meanings:

 

1)         "Applicant":  Any person or entity that has directly or indirectly expressed interest to an official or employee of a host community in obtaining an owners license under the Act in that host community, regardless of whether that person or entity has submitted an application to the Board.

 

2)         "Communication": Any written or oral communication, including with any agent, representative, or affiliate, or indirect communication through third parties or intermediaries, irrespective of whether that communication occurs in a public forum.

 

3)         "Employee": Any person employed full-time, part-time, or pursuant to a contract and whose duties are subject to the direction and control of an employer with regard to the material details of how the work is to be performed.

 

4)         "Local Government":  Any unit of government wholly within the State of Illinois other than the State of Illinois.

 

5)         "Official": Any of the following:

 

A)        Elected or appointed official of the host community;

 

B)        Any participant in a committee, group, team, or other organization acting at the behest of or in cooperation with the host community; or

 

C)        Agent, contractor, or other delegate of the host community.

 

b)         Disclosures made to the Board required under Section 5.3(j) of the Act and this Section shall be in a manner consistent with Section 5.3(j) of the Act and this Section.

 

c)         All applicants and licensees have a duty to report to the Administrator or any other Board agent designated by the Administrator, any facts that the applicant or licensee has reasonable grounds to believe indicate a violation of Section 5.3 of the Act, including, but not limited to:

 

1)         Violations by the applicant, licensee, or the applicant's or licensee's own agents, employees or affiliates;

 

2)         Violations by any other applicant, licensee, or that applicant's or licensee's agents, employees or affiliates; or

 

3)         Violations by any current or former official or employee of a corporate authority of a host community, or that person's spouse, child, or parent.

 

d)         Any communication subject to disclosure under Section 5.3(j) of the Act that occurred prior to the effective date of this Section and after the effective date of Section 5.3(j) of the Act shall be disclosed to the Board within 14 days after the effective date of this Section.

 

(Source:  Added at 44 Ill. Reg. 3224, effective February 4, 2020)

 

Section 3000.195  Reporting Prohibited Conduct

 

a)         The Board shall establish an electronic form on its website to allow individuals to report allegations of prohibited conduct, criminal behavior, or violations of the any statute or rule under the Board's jurisdiction.

 

b)         Any individual making a report shall be required to include the following:

 

1)         Summary of the facts supporting the allegation;

 

2)         Affirmation by the individual that all information contained in the report is true and correct to the best of the individual's knowledge and belief; and

 

3)         Acknowledgment by the individual that knowingly making false statements in the report may subject the individual to criminal penalties.

 

c)         Public disclosure of any information, materials, or data received by any agent or employee of the Board under this Part shall be subject to the exemptions provided under Section 7 of the Freedom of Information Act [5 ILCS 140].

 

d)         The Board shall not voluntarily disclose the identity of any individual who provides information, materials or data to the Board under this Part for any reason unless such disclosure is required by law, is necessary for Board investigations or enforcement actions or proceedings, is necessary in connection with a referral to a civil or criminal law enforcement agency, or the individual authorizes such disclosure.

 

(Source:  Added at 45 Ill. Reg. 14449, effective November 2, 2021)

 

Section 3000.200  Classification of Licenses

 

The Board may classify an activity to be licensed in addition to, different from, or at a different level than the classifications set forth in this Subpart.

 

a)         Owners License.  An owner of a  Gaming Operation is required to hold an owners license.

 

b)         Suppliers License.  The following persons or entities are required to hold a suppliers license:

 

1)         Supplier of Gaming Equipment/Supplies, including a manufacturer, distributor, wholesaler, or retailer.  All manufacturers of Electronic Gaming Devices, Chips,  Tokens, Voucher Systems, Voucher Validation Terminals, Voucher Printers, and Computer Monitoring Systems must be licensed as a Supplier regardless of whether the manufacturer uses an independent distributor or wholesaler to distribute its Equipment/Supplies.

 

2)         Supplier of Gaming Equipment maintenance or repair services.

 

3)         Supplier of security services.

 

4)         Lessors of Riverboat and/or dock facilities.

 

5)         Junketeers.

 

6)         Any other purveyor of goods or services to a Gaming Operation, as deemed necessary by the Board.

 

c)         Occupational License.  A person employed at a Gaming Operation is required to hold an occupational license.  An occupational licensee may perform any activity included within the licensee's level of occupational license or any lower level of occupational license.

 

1)         Occupational license, Level 1, includes the following positions, or their equivalent:

 

A)        Audit Manager;

 

B)        Casino Manager;

 

C)        Chief of Security;

 

D)        Chief of Surveillance;

 

E)        Chief Financial Officer and/or Controller;

 

F)         EDP Manager;

 

G)        Electronic Gaming Device Manager;

 

H)        General Manager;

 

I)         Table Games Manager; and

 

J)         Any other individual who, upon review of the applicant's or licensee's Table of Organization, Ownership and Control submitted under Section 3000.223, the Board determines holds a position or a level of ownership, control or influence that is material to the regulatory concerns and obligation of the Board for the specified licensee or applicant.

 

2)         Occupational License, Level 2.  A Gaming or security/surveillance employee not required to hold an occupational license, Level 1 under subsection (c)(1).

 

3)         Occupational License, Level 3.  An employee not required to hold an occupational license, Level 1 or Level 2  under subsections (c)(1) and (c)(2).

 

d)         Organization Gaming License.  An organization gaming license is a license authorizing gaming, issued under Section 7.7 of the Act, to a person or entity having operating control of a racetrack.  In addition to other requirements of this Part, organization gaming licensees are subject to the same duties and obligations as riverboat/casino owners licensees under Sections 3000.230, 3000.286, 3000.300, 3000.310 and 3000.840 and Section 7 of the Act.

 

(Source:  Amended at 44 Ill. Reg. 3224, effective February 4, 2020)

 

Section 3000.210  Fees and Bonds

 

All fees shall be submitted to the Board in the form of a check or money order made payable to the State of Illinois, or any other method approved in writing by the Administrator.

 

a)         Application Fees.  The following application fees must be paid upon the submittal of the application to which they relate:

 

1)         Owner's license:  $50,000.

 

2)         Supplier's License:  $10,000.

 

3)         Occupation License, Level 1:  $1,000.

 

4)         Occupation License, Level 2:  $200.

 

5)         Occupation License, Level 3:  $75.

 

b)         Increased Application Fee.  The application fee of an applicant may be increased to the extent that the cost of the investigation relating to the applicant exceeds the applicant's fee amount provided in subsection (a).  Unless otherwise determined by the Administrator, no further action shall be taken with respect to the application until payment of the increased fee is received by the Board.

 

c)         License Fees.  The following annual license fees are due from Owners and Suppliers upon licensing.  The annual Occupation License fees are due prior to each renewal of the license pursuant to Section 3000.246.  If there is cause for an investigation relating to a license, the licensee shall pay the Board for the cost of the investigation.

 

1)         Owner's license:  $25,000 for the first year of operation, $5,000 for each succeeding year of licensure.

 

2)         Supplier's License:  $5,000.

 

3)         Occupation License, Level 1:  $50.

 

4)         Occupation License, Level 2:  $50.

 

5)         Occupation License, Level 3:  $50.

 

d)         Holder of an Owner's license Bond

 

1)         The form of the holder of an Owner's license surety bond required under Section 10 of the Act must be approved by the Administrator prior to its posting.

 

A)        The bond shall state that it is exercisable if the licensee fails to comply with the obligations provided under Section 10 of the Act.  The bond may provide that the liability of the surety is limited to the extent of the liability of the licensee.

 

B)        The bond shall state that in the event it is to be modified or cancelled the surety shall notify the Board in writing at least 30 days prior to the date of such modification or cancellation.

 

C)        The bond shall state that it shall run continuously and remain in full force and effect during the period of the licensee's licensure.

 

2)         The bond shall be posted with the Board.

 

e)         Technology Fee.  As deemed necessary by the Administrator, an owner or supplier applicant or licensee may be billed directly or be required to reimburse the Board for any expenses, including any third-party expenses, associated with the testing, certification, installation, training, review, or approval of gaming-related technology or technological enhancements to a Riverboat Gaming Operation.

 

(Source:  Amended at 45 Ill. Reg. 14449, effective November 2, 2021)

 

Section 3000.220  Applications

 

a)         Application Forms.  Application forms shall be submitted by applicants as provided in this Section.

 

1)         Owner's License.  Owner's License Application Form and Business Entity Form or Individual Key Person Personal Disclosure Form for each of the applicant's Key Persons, or any other principal or investor as the Board may require.

 

2)         Supplier's License.  Supplier's License Application Form and Business Entity Form or Individual Key Person Personal Disclosure Form for each of the applicant's Key Persons, or any other principal or investor as the Board may require.

 

3)         Occupation License, Level 1.  Personal Disclosure Form 1.  After the first year of licensure, applications for continuous renewal of Level 1 Occupational Licenses may include, in lieu of the Personal Disclosure Form 1, a disclosure affidavit, updated personal and background information, and updated tax and financial documents and information.  The disclosure affidavit shall update and attest to the veracity of all required information.

 

4)         Occupation License, Level 2.  Personal Disclosure Form 2.

 

5)         Occupation License, Level 3.  Personal Disclosure Form 3.

 

b)         Additional or Different Forms or Materials.  An applicant may be required to submit forms or materials in addition to those listed in subsection (a).

 

c)         Application Procedures.

 

1)         An applicant is seeking a privilege and assumes and accepts any and all risk of adverse publicity, notoriety, embarrassment, criticism or other action, or financial loss which may occur in connection with the application process.

 

2)         Any misrepresentation or omission made with respect to an application may be grounds for denial of the application.

 

3)         Application forms and requested materials shall be submitted in triplicate.  Application forms and requested materials for Owner's and Supplier's licenses shall be submitted in bound form.

 

4)         Applicants for Occupation licenses shall be photographed and fingerprinted at the time of application at a place designated by the Administrator.

 

5)         An application shall be deemed filed when the completed application form, including all required documents and materials, and the application fee have been submitted.

 

d)         Amendments and Incorporation by Reference.

 

1)         An application may be amended only upon leave of the Board.

 

2)         The Board may allow information, documents, or other materials submitted by an applicant to be incorporated by reference into a subsequent application.

 

e)         Withdrawal of Applications.

 

1)         An Owner's or Supplier's application may be withdrawn only upon leave of the Board.

 

A)        A request for leave to withdraw an application for an Owner's license shall not be considered by the Board unless received prior to Board action regarding a finding of preliminary suitability under Section 3000.230(c).  However, applicants who have been found preliminarily suitable may seek leave to withdraw after such finding.

 

B)        A request for leave to withdraw an application for a Supplier's license shall not be considered by the Board unless received prior to Board action on licensure under Section 3000.240.

 

C)        The Board may deny leave to withdraw an Owner's or Supplier's application if it determines that withdrawal of the application would not be in the best interests of the public and the Gaming industry.

 

2)         If an application for an Owner's or Supplier's license is withdrawn, the applicant may not reapply for a license within one year from the date withdrawal is granted, without leave of the Board.

 

3)         Applications for Occupational licenses may be withdrawn without leave of the Board, if written notification of withdrawal is received prior to Board action on licensure under Section 3000.245 and unless the intended withdrawal is objected to by the Administrator, in which case leave of the Board is required.

 

4)         An Individual Key Person Personal Disclosure Form or Business Entity Form, submitted in connection with a request for certification as a Key Person under Section 3000.222, may be withdrawn without leave of the Board, if written notification of withdrawal is received prior to Board action on licensure under Section 3000.245 and unless the intended withdrawal is objected to by the Administrator, in which case leave of the Board is required.

 

(Source:  Amended at 34 Ill. Reg. 3285, effective February 26, 2010)

 

Section 3000.221  Other Required Forms

 

a)         Marketing Agent Forms.  The holder of an Owner's license shall complete and submit a Marketing Agent Form provided by the Board, or the information requested in the Form, to the Board for each Marketing Agent with whom it intends to do business.

 

b)         Institutional Investor Disclosure Form.  Institutional Investors are required to submit the Institutional Investor Disclosure Form as provided under Section 3000.234.

 

c)         Trust Registration and Disclosure Form.  Key Persons and Occupational Level One licensees of holders of, or applicants for, an Owner's or Supplier's license shall submit a Trust Registration and Disclosure Form for any trust that holds a direct or indirect interest in any gaming entity that is subject to regulation by a gaming jurisdiction for which they are a grantor, trustee or beneficiary, or for any other trust in which they have an interest, if so requested by the Board.  Each time a reportable gaming industry trust relationship is established, amended or terminated, appropriate disclosure is needed as provided under Section 3000.140.

 

(Source:  Amended at 34 Ill. Reg. 4768, effective March 16, 2010)

 

Section 3000.222  Identification and Requirements of Key Persons

 

a)         The Board shall certify for each applicant for or holder of an Owner's or Supplier's license each position, individual or Business Entity that is to be approved by the Board and maintain suitability as a Key Person of the licensee.

 

b)         Supplier Key Persons.  With respect to an applicant for or holder of a Supplier's license, Key Person shall include:

 

1)         The Chief Executive Officer and the Chief Operating Officer, or their functional equivalents, and each individual or Business Entity that is a Substantial Owner.

 

2)         Each individual or Business Entity that is a Substantial Owner of any Business Entity that is a Substantial Owner of the Illinois applicant or licensee.

 

3)         All other individuals or Business Entities that, upon review of the applicant's or licensee's Table of Organization, Ownership and Control submitted under Section 3000.223, the Board determines hold a position or a level of ownership, control or influence that is material to the regulatory concerns and obligations of the Board for the specified licensee or applicant.

 

c)         Owner Licensee Key Persons.  With respect to an applicant for or the holder of an Owner's license, Key Person shall include:

 

1)         Any Business Entity and any individual with an ownership interest or voting rights of more than 5 percent in the licensee or applicant, and the trustee of any trust holding such ownership interest or voting rights.

 

2)         The directors of the licensee or applicant and its chief executive officer, president and chief operating officer, or their functional equivalents.

 

3)         A Gaming Operations Manager or any other business entity or individual who has influence and/or control over the conduct of gaming or the Riverboat Gaming Operation.

 

4)         All other individuals or Business Entities that, upon review of the applicant's or licensee's Table of Organization, Ownership and Control submitted under Section 3000.223, the Board determines hold a position or a level of ownership, control or influence that is material to the regulatory concerns and obligations of the Board for the specified licensee or applicant.

 

d)         Level 1 Occupational Licensees.  Individuals required to apply for and hold a Level 1 Occupational license, pursuant to Section 3000.200(c), may also be certified by the Board as Key Persons.  For such individuals, the disclosure and approval requirements and the standards for compliance with this Part shall be those related to occupational licensure.

 

1)         An individual denied occupational licensure or whose license is revoked by a final determination of the Board is unsuitable and shall not be allowed to function as a Key Person of any applicant or licensee.

 

2)         An individual who, by voluntary action, relinquishes status as a Level 1 Occupational licensee and remains or becomes a Key Person shall be required to comply with all requirements imposed by the Board and this Part upon Key Persons.

 

e)         Each individual or Business Entity designated as a Key Person shall:

 

1)         File a Business Entity Form or Personal Disclosure Form 1 or its equivalent.

 

2)         File, on an annual basis, a disclosure affidavit, updated personal and background information, and updated tax and financial documents and information.

 

3)         Comply with the applicable provisions of this Part and disclose promptly to the Board any material changes in status or information previously provided to the Board.

 

4)         As required, cooperate fully with any investigation conducted by the Board.

 

5)         Maintain suitability as a Key Person.

 

6)         Be subject to a fine for each act or omission that is grounds for discipline of a licensee under the provisions of Section 3000.110.

 

(Source:  Amended at 34 Ill. Reg. 15386, effective September 23, 2010)

 

Section 3000.223  Disclosure of Ownership and Control

 

a)         General Requirements.  Each applicant for or holder of an Owner's or Supplier's license shall provide to the Board and maintain on a current basis a Table of Organization, Ownership and Control.  The Table of Organization, Ownership and Control shall contain the information required by this Section, in sufficient detail to identify the hierarchy of individuals and Business Entities that, through direct or indirect means, manage, own or control the interests and assets of the applicant or license holder.

 

b)         Direct Ownership or Control.  The Table of Organization, Ownership and Control shall identify the following information concerning the direct management, ownership and control of the applicant or license holder.

 

1)         The name and percentage of ownership of each individual or Business Entity with an ownership interest in the applicant or licensee.  If the licensee or applicant is a Business Entity whose stock is traded publicly, the identification of ownership shall be provided as required in subsection (d).

 

2)         A table of organization reflecting the management and governance structure of the licensee or applicant, including the name and office or position of each individual serving as an officer, director or member of an executive committee or similar governing body and identifying each managerial position and each managerial employee reporting directly to an officer of the company or its board of directors.

 

3)         For each trust holding ownership interest, and for each voting trust, the name of the trustee of the trust.

 

4)         For each Business Entity with an ownership interest, the name and position of each officer, director and all persons reporting to the chief executive officer or the board of directors of the Business Entity, and in the case of each privately held Business Entity the names of all persons with an ownership interest.

 

c)         Intermediary Entities and Ultimate Ownership.  To the extent that ownership of or control over the applicant or licensed entity is exercised through intermediary Business Entities, the Table of Organization, Ownership and Control must identify, in hierarchical fashion, all such intermediary entities and their officers, directors, trustees, shareholders and persons reporting to the chief executive officer or board of directors, and provide similar information on any parent Business Entity.  If the intermediary entity or ultimate parent is a publicly traded company, the ownership identification requirements for this Business Entity shall be provided as required in subsection (d).

 

d)         Publicly Traded Company Ownership.  If a Business Entity identified in subsection (b) or (c) is a publicly traded company, the following information shall be provided in the Table of Organization, Ownership and Control:

 

1)         The name and percentage of ownership interest of each individual or Business Entity with ownership of more than 5 percent of the voting shares of the entity, to the extent such information is known or contained in 13D or 13G Securities and Exchange Commission filings.

 

2)         To the extent known, the names and percentage of interest of ownership of persons who are relatives of one another and who together (as individuals or through trusts) exercise control over or own more than 10 percent of the voting shares of the entity.

 

3)         Any trust holding a more than 5 percent ownership or voting interest in the company, to the extent such information is known or contained in 13D or 13G Securities and Exchange Commission filings.

 

e)         The information contained in the Table of Organization, Ownership and Control provided to the Board may be disclosed under the Freedom of Information Act unless otherwise exempt by law or Board rule.

 

(Source:  Added at 22 Ill. Reg. 19541, effective October 23, 1998)

 

Section 3000.224  Economic Disassociation

 

a)         Each owner and supplier licensee shall provide a means for the economic disassociation of a Key Person in the event such economic disassociation is required by an order of the Board.

 

b)         Based upon findings from an investigation into the character, reputation, experience, associations, business probity and financial integrity of a Key Person, the Board may enter an order upon the licensee to require the economic disassociation of such Key Person.  A violation of an order of the Board for the economic disassociation of a Key Person may result in a complaint under Subpart K.  Any hearing concerning such complaint shall be a hearing on the merits of the Board's determination that economic disassociation is warranted.  The licensee shall be considered the party to such hearing.

 

(Source:  Added at 22 Ill. Reg. 19541, effective October 23, 1998)

 

Section 3000.225  Business Entity and Personal Disclosure Filings

 

a)         In order to conduct required investigations into the background, character, reputation, business probity, and financial integrity of certain individuals and Business Entities associated with applicants or licensees, the Board requires the filing of the Business Entity Form or Personal Disclosure Form 1 and related information as well as the filing of periodic supplements to this disclosure information.  Comprehensive information is required of:

 

1)         Each Key Person.

 

2)         Individuals required to hold a Level 1 Occupational License.

 

b)         The Business Entity Form, Personal Disclosure Form 1, or other specified disclosure information, upon an order of the Board may be required of:

 

1)         Any individual or Business Entity holding or represented as holding an option or other claim of or benefit from ownership interest in an applicant or licensee and any shareholder of the applicant or licensee not otherwise designated as a Key Person.

 

2)         Any individual that controls an applicant or licensee or that is controlled by a Key Person of an applicant or licensee whom the Board determines holds a sensitive position or relationship affecting the integrity of Gaming in Illinois.

 

3)         An individual or Business Entity that provides, through a private transaction, substantial capital for the benefit of an applicant or licensee.

 

4)         Any individual that, through an ownership or voting trust, controls an ownership interest in an applicant or licensee.

 

c)         Personal disclosure information shall be considered confidential information, except as provided by law or this Part.

 

d)         The obligation to file a Business Entity Form or Personal Disclosure Form 1 and other information is a mutual obligation of the Person required to file and the owner or supplier licensee or applicant with whom the Person is affiliated.

 

(Source:  Added at 22 Ill. Reg. 19541, effective October 23, 1998)

 

Section 3000.230  Owner's Licenses

 

a)         Overview of Licensing Procedures.  Applications for Owner's licenses shall be subject to the following procedures prior to licensure:

 

1)         Investigation of the applicant and application;

 

2)         Finding of preliminary suitability;

 

3)         Assessment of the Riverboat Gaming Operation;

 

4)         Final practice Gaming session;

 

5)         Action of the Board; and

 

6)         Different or additional licensing procedures as required of an applicant by the Board.

 

b)         Investigation of the Applicant and Application.  An applicant is responsible for compliance with all requests for information, documents, or other materials relating to the applicant and the applicant's application.

 

c)         Finding of Preliminary Suitability

 

1)         An applicant for an Owner's license shall present to the Board in a public meeting the reasons it is suitable for licensing.

 

2)         An applicant must satisfy the Board by clear and convincing evidence that the applicant:

 

A)        Has met those requirements of Section 7 of the Act;

 

B)        Is a person or entity whose background, reputation and associations will not dishonor or harm the reputation of, or result in adverse publicity for, the State of Illinois and its Gaming industry;

 

C)        Has adequate business competence and experience to be a holder of an Owner's license; and

 

D)        Has demonstrated that the proposed funding of the entire operation shall be adequate for the nature of the proposed operation and be from a suitable source; and

 

E)        Has satisfied the Board as to any other information deemed necessary for licensure.

 

3)         After presentation by the applicant, the Board shall determine whether to find the applicant preliminarily suitable for licensing.

 

4)         If the Board finds the applicant preliminarily suitable for licensing, it shall issue the applicant a finding of preliminary suitability.

 

5)         If the Board finds the applicant not preliminarily suitable for licensing, it shall issue the applicant a Notice of Denial.

 

d)         Approval for Proposed Changes

 

1)         In addition to an applicant's and licensee's duty under Section 3000.140 to disclose information to the Board, an applicant or owner licensee must immediately inform the Board and, except as provided in subsections (d)(2) and (3) below, obtain prior formal Board approval thereof whenever a change is proposed in the following areas:

 

A)        Key Persons;

 

B)        Type of entity;

 

C)        Equity and debt capitalization of entity;

 

D)        Investors and/or debt holders;

 

E)        Sources of funds;

 

F)         Economic development plans or proposals;

 

G)        Riverboat cruising schedules or routes, capacity or design change;

 

H)        Gaming positions;

 

I)         Anticipated economic impact; or

 

J)         Agreements, oral or written, relating to the acquisition or disposition of property (real or personal) of a value greater than $1 million.

 

2)         The Board may, by resolution, delegate to the Administrator the authority to approve proposed changes listed in Section 3000.230(d)(1).  Such resolution shall specify the type and, where appropriate, level or amount of the proposed changes that may be approved by the Administrator.

 

3)         If the Administrator refuses to approve a proposed change under subsection (d)(2), the Board shall review such proposal and determine whether to grant or deny the change.

 

e)         Assessment of the Riverboat Gaming Operation

 

1)         After an applicant is found preliminarily suitable for licensing, the applicant's Riverboat Gaming Operation shall be assessed to determine its effectiveness, integrity, and compliance with law and Board standards.

 

A)        The matters to be assessed include:

 

i)          The Gaming Operations Manager;

 

ii)         Proposed Gaming Operations and use of Gaming equipment;

 

iii)        The Riverboat, whether it is a self-propelled excursion boat or permanently moored barge;

 

iv)        Handicapped access;

 

v)         Support Facilities;

 

vi)        Internal controls and operating procedures;

 

vii)       Security operations;

 

viii)      Staffing;

 

ix)        Casualty and liability insurance;

 

x)         Affirmative action hiring patterns;

 

xi)        The status of the financing commitments proposed in the applicant's application;

 

xii)       Information received subsequent to the preliminary finding of suitability concerning the applicant and the applicant's Key Persons;

 

xiii)      Riverboat capacity and Gaming positions;

 

xiv)      Fulfillment of economic development plans as submitted in the application; and

 

xv)       Such other matters as the Board may require.

 

B)        The Board may establish a schedule setting a timetable for the satisfactory compliance for all operations to be assessed.

 

2)         The Administrator shall report to the Board concerning whether the applicant has satisfactorily complied with subsection (e) of this Section.

 

3)         After receipt of the Administrator's report, the Board shall determine whether to authorize a final practice Gaming excursion.

 

f)         Final Practice Gaming Session

            The Board may authorize the Administrator to conduct a final practice Gaming session and to issue the applicant a Temporary Operating Permit if the final practice Gaming session is successfully completed.

 

1)         In determining whether a final practice Gaming session has been successfully completed, the Administrator shall assess, among other matters, the effectiveness, safety and security of the Riverboat Gaming Operation as well as the matters listed in subsection (e)(1)(A) above.

 

2)         If the Administrator determines that the final practice Gaming session has not been successfully completed, he shall so report to the Board.

 

3)         If the Administrator determines that the final practice Gaming session has been successfully completed, he shall:

 

A)        Upon delivery of the applicant's license fee and a file stamped copy of the applicant's $200,000 bond to the State of Illinois posted with the Board, issue the applicant a Temporary Operating Permit; and

 

B)        Report to the Board.

 

4)         A Temporary Operating Permit allows the applicant to operate the Riverboat Gaming Operation to which it pertains until it is withdrawn or the Board takes action on the application.

 

5)         A Temporary Operating Permit may be withdrawn by the Administrator if he determines that the Riverboat Gaming Operation to which it pertains is not suitable for continued operation.  If the Administrator withdraws a Temporary Operating Permit, he shall so report to the Board.

 

g)         Action of the Board

 

1)         If the Board finds the applicant suitable for licensing, it shall issue the applicant a license.

 

2)         If the Board finds the applicant not suitable for licensing, it shall:

 

A)        Issue the applicant a Notice of Denial by certified mail or personal delivery; and

 

B)        If the applicant has been issued a Temporary Operating Permit, return the applicant's license fee.

 

h)         Notice of Denial

 

1)         An applicant served with a Notice of Denial may request a hearing in accord with Section 3000.405.

 

2)         If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's application.

 

(Source:  Amended at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.231  Distributions

 

a)         A holder of an Owner's License may make distributions to its partners, stockholders or itself only to the extent that such distribution will not impair the financial viability of the Riverboat Gaming Operation and do not violate the Act, this Part or orders of the Board.  Factors to be considered include but are not limited to the following:

 

1)         Cash flow, casino cash and working capital requirements;

 

2)         Debt service obligations and covenants associated with financial instruments;

 

3)         Requirements for repairs, maintenance and capital improvements;

 

4)         Employment or economic development requirements of the Act; and

 

5)         A licensee's financial projections.

 

b)         From time to time the Board, or the Administrator acting on behalf of the Board, may require an owner licensee to report distributions made under subsection (a), along with a summary and analysis of the consideration given to the factors identified in subsections (a)(1) through (a)(5).

 

(Source:  Amended at 20 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.232  Undue Economic Concentration

 

a)         In addition to considering all other requirements under the Act and this Part, in deciding whether to approve direct or indirect ownership or control of an Owner's license the Board shall consider the impact of any economic concentration of the ownership or control.  No direct or indirect ownership or control shall be approved and no Owner's license shall be issued or transferred to or held by any person or entity if the Board determines that approval, issuance, transfer or holding will result in undue economic concentration in the direct or indirect ownership or control of riverboat gambling operations in Illinois.

 

b)         For purposes of this Section, "undue economic concentration" means that a person or entity would have actual or potential domination of riverboat gambling in Illinois sufficient to:

 

1)         substantially impede or suppress competition among holders of Owner's licenses;

 

2)         adversely impact the economic stability of the riverboat casino industry in Illinois; or

 

3)         negatively impact the purposes of the Act, including tourism, economic development, benefits to local communities, and State and local revenues.

 

c)         In determining whether the issuance, transfer or holding, directly or indirectly, of an Owner's license will result in undue economic concentration, the Board shall consider the following criteria:

 

1)         The percentage share of the market presently owned or controlled by a person or entity, directly or indirectly, in each of the following categories:

 

i)          The total number of licensed riverboat casinos in Illinois;

 

ii)         Total riverboat casino square footage;

 

iii)        Number of persons employed in the riverboat gambling operation and any affiliated hotel operation;

 

iv)        Number of guest rooms in an affiliated hotel;

 

v)         Number of Electronic Gaming Devices;

 

vi)        Number of table games;

 

vii)       Net revenue and Adjusted Gross Receipts;

 

viii)      Table Win;

 

ix)        Electronic Gaming Device Win;

 

x)         Table Drop; and

 

xi)        Electronic Gaming Device Drop;

 

2)         The estimated increase in the market shares in the categories in subsection (c)(1) above if the person or entity is approved, or is issued or permitted to hold the Owner's license;

 

3)         The relative position of other persons or entities that own or control Owner's licenses in Illinois, as evidenced by the market shares of each license in the categories in subsection (c)(1) above;

 

4)         The current and projected financial condition of the riverboat gaming industry;

 

5)         Current market conditions, including proximity and level of competition, consumer demand, market concentration, and any other relevant characteristics of the market;

 

6)         Whether the licenses to be issued, transferred or held, directly or indirectly, by the person or entity have separate organizational structures or other independent obligations;

 

7)         The potential impact on the projected future growth and development of the riverboat gambling industry, the local communities in which licenses are located, and the State of Illinois;

 

8)         The barriers to entry into the riverboat gambling industry, including the licensure requirements of the Act and this Part, and whether the issuance or transfer to, or holding, directly or indirectly, of, an Owner's license by the person or entity will operate as a barrier to new companies and individuals desiring to enter the market;

 

9)         Whether the issuance or transfer to or holding, directly or indirectly, of the license by the person or entity will adversely impact on consumer interests, or whether such issuance, transfer or holding is likely to result in enhancing the quality and customer appeal of products and services offered by riverboat casinos in order to maintain or increase their respective market shares;

 

10)        Whether a restriction on the issuance or transfer of a license to, or holding, directly or indirectly, of, an additional license by the person is necessary in order to encourage and preserve competition in casino operations; and

 

11)        Any other information deemed relevant by the Board.

 

(Source:  Added at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.234  Acquisition of Ownership Interest By Institutional Investors

 

a)         An Institutional Investor that, individually or jointly with others, cumulatively acquires, directly or indirectly, five percent or more of any class of voting securities of a publicly-traded licensee or a licensee's publicly-traded parent corporation shall, within no less than ten days after acquiring such securities, notify the Administrator of such ownership and shall, upon request, provide such additional information as may be required by the Administrator.

 

b)         An Institutional Investor that, individually or jointly with others, cumulatively acquires, directly or indirectly, ten percent or more of any class of voting securities of a publicly-traded licensee or a licensee's publicly-traded parent corporation shall file an Institutional Investor Disclosure Form, provided by the Gaming Board, within 45 days after cumulatively acquiring such level of ownership interest, unless such requirement is waived by the Administrator.

 

c)         The licensee shall notify the Administrator as soon as possible after it becomes aware that it or its parent is involved in an ownership acquisition by an Institutional Investor subject to this Section.  Notwithstanding the foregoing, the Institutional Investor's obligation under this Section shall be independent of the licensee's obligation to notify the Administrator.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.235  Transferability of Ownership Interest

 

a)         An ownership interest in an entity with a finding of preliminary suitability or a holder of an Owner's license may only be transferred with leave of the Board.  An ownership interest in a business entity, other than a publicly traded corporation, which has an interest in an entity with a finding of preliminary suitability or in a holder of an Owner's license, may only be transferred with leave of the Board.

 

1)         Any individual or entity filing an application for transfer of any ownership interest in an entity with a finding of preliminary suitability or in a holder of an Owner's license, must complete a Business Entity Form or Personal Disclosure Form 1, and any other information specifically requested by the Board.  The information will form the basis of Board investigation to determine suitability of the person or entity seeking transfer.  All costs associated with Board investigation of the applicant for transfer will be born by an entity with a finding of preliminary suitability or by the holder of an Owner's license in which the transfer of ownership interest is being sought.

 

2)         Board decision as to suitability for transfer will be based on the same criteria as for a finding of preliminary suitability for licensure under Section 3000.230(c).

 

3)         If the Board denies the application for transfer, it shall issue the applicant a Notice of Denial.  An applicant served with a Notice of Denial may request a hearing in accord with Section 3000.405.  If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the application for transfer.

 

b)         An ownership interest in an entity with a finding of preliminary suitability or in a holder of an Owner's license may only be pledged as collateral with leave of the Board.

 

c)         Transferability of Ownership in publicly traded parent corporation.  The Board shall (unless the investor qualifies as an institutional investor) require a Business Entity Form or Personal Disclosure Form 1 from any person or entity who or which, individually or in association with others, acquires directly or indirectly, beneficial ownership of more than 5% of any class of voting or non-voting with conversion rights securities of a publicly traded corporation which holds an ownership interest in the holder in an entity with a finding of preliminary suitability or in the holder of an Owner's license.  The Business Entity Form or Personal Disclosure Form 1, and any other information specifically requested by the Board, will form the basis of the Board investigation to determine suitability of the person or entity seeking transfer. All costs associated with Board investigation of the applicant for transfer will be born by the entity with a finding of preliminary suitability or by the holder of an Owner's license in which the publicly traded corporation holds a beneficial interest.

 

1)         Board decision as to suitability for transfer will be based on the criteria for a finding of preliminary suitability for licensure under Section 3000.230(c).

 

2)         If the Board denies the application for transfer, it shall issue the applicant a Notice of Denial.  An applicant served with a Notice of Denial may request a hearing in accord with Section 3000.405.  If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the application for transfer.

 

3)         Commencing as of the date the Board issues a Notice of Denial, it shall be unlawful for the applicant served with the Notice of Denial:

 

A)        to receive any dividends or interest upon any such securities;

 

B)        to exercise, directly or indirectly, any right conferred by such securities; and/or

 

C)        to receive any remuneration in any form from any person or entity holding any license pursuant to the Act for services rendered or otherwise.

 

4)         Within 30 calendar days after the earlier of either the failure of an applicant served with a Notice of Denial to request a hearing or the issuance of a final order pursuant to Subpart D, the holder of the affected Owner's license shall purchase all of the interests in the holder of the Owner's license from such disqualified person or entity, and the disqualified person or entity shall sell all of his/its interest in the holder of the Owner's license to the licensee at the lesser of the market price or purchase price of such interests in the holder of the Owner's license.

 

(Source:  Amended at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.236  Owner's License Renewal

 

Upon the expiration of an initial Owner's license, or following a one year license renewal period, a license may be renewed for a period determined by the Board, pursuant to Section 3000.237, of up to 4 years, subject to the provisions of the Act, Sections 3000.236 and 3000.237, and the other Board rules contained in this Part.

 

a)         The renewal requirements shall include the following:

 

1)         Beginning with the initial renewal application the licensee shall submit an owner's renewal application and the requisite Business Entity and Personal Disclosure Forms.  The owner licensee shall submit disclosure information pursuant to Section 3000.222(e)(2) from each Key Person who has previously filed a Business Entity or Personal Disclosure Form, updating, and attesting to the veracity of information on the previously filed Business Entity or Personal Disclosure Form and setting forth any required additional or different information than previously submitted.  Nothing in this Section shall be interpreted to alter the ongoing duty to disclose changes in information;

 

2)         Unless a later date is authorized in writing by the Administrator, materials submitted pursuant to this Section shall be provided in triplicate at least 90 days prior to the expiration of the Owner's license, and must be accompanied by the required annual licensing fee; and

 

3)         As part of its renewal submission, the licensee shall provide documentation of the following:

 

A)        Measures taken by the licensee to assure compliance with the Act and the rules promulgated thereunder;

 

B)        Adherence to the economic development purposes and requirements of the Act, including conformance to specific commitments made in conjunction with an initial application or subsequent renewal applications;

 

C)        Adherence to specific conditions or requirements adopted by the Board at the time a previous renewal was authorized;

 

D)        Ability to maintain a financially viable gaming entity;

 

E)        Any specific plans for changes in the financing, ownership or structure of the licensee and its substantial owner(s);

 

F)         An assessment of the economic impact of the gaming operation on employment, business and economic development related to the State of Illinois and related to the area of the State in which the gaming operation is conducted;

 

G)        Information relating to the licensee's or its substantial owners' involvement in gaming in other jurisdictions;

 

H)        Verification of tax filings with the Illinois Department of Revenue during the preceding licensing period;

 

I)         Summary of all litigation to which licensee is or was a party during the preceding licensing period;

 

J)         Responses to specific questions or concerns raised by the Board in its renewal investigation and review process; and

 

K)        Evidence of continued support of the licensee from its community.

 

b)         The Board shall base its renewal of an Owner's license upon:

 

1)         The timeliness and responsiveness of the information submitted by the holder of a license as required pursuant to Section 3000.236;

 

2)         The Board's analysis of the owner licensee's Gaming operations, including the nature, frequency, extent and any pattern of past violations of the Act and this Part;

 

3)         The financial status and the current and projected financial viability of the entity;

 

4)         Information on the background, character and integrity of the Key Persons, owners, directors and partners of the entity;

 

5)         The owner licensee's pattern of compliance exhibited through quarterly, special and annual compliance reviews or audits performed by the Board staff or contract audit firms;

 

6)         The licensee's commitment to economic development in the community and in Illinois;

 

7)         The overall adherence of the licensee to all requirements of the Act and this Part; and

 

8)         Any other information the Board deems appropriate.

 

c)         Action of the Board

 

1)         The Board shall act at a public meeting on the renewal of an Owner's license and may afford representatives of the licensee and members of the general public an opportunity for commenting upon the renewal.

 

2)         If the Board decides to deny license renewal or restrict the term of renewal to less than 4 years, it shall direct the Administrator to issue a Notice of Denial or Restriction to the licensee by certified mail or personal delivery.

 

d)         Request for Hearing

 

1)         An owner licensee served with a Notice of Denial or Restriction may request a hearing in accordance with Section 3000.405.

 

2)         If a hearing is not requested, the Notice of Denial or Restriction becomes the final order of the Board denying the owner licensee's application for renewal or restricting the term of renewal to less than 4 years, as the case may be.

 

(Source:  Amended at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.237  Renewed Owner's Licenses, Term and Restrictions

 

a)         Unless otherwise provided by the Board pursuant to this Section, renewed Owner's licenses shall be for a term of 4 years.

 

b)         Upon issuing a renewed Owner's license, the Board may restrict the term of the renewal to any period of less than 4 years, and may impose additional restrictions and conditions on the renewed license.  In deciding whether to issue a restricted license, the Board shall consider:

 

1)         The standards applied under Section 3000.236(b) in renewing a license;

 

2)         The business practices and regulatory history in Illinois and other jurisdictions of the licensee, its Key Persons and affiliates;

 

3)         The licensee's reputation and associations; and

 

4)         Any other information considered by the Board to be relevant to renewal of the license.

 

c)         If, at the conclusion of a renewal period for licensees restricted on renewal, the Board deems that the licensee has addressed or corrected the reasons for the restriction, the Board may renew the license for up to 4 years.  If the Board determines the licensee has not corrected the reasons for the restriction, the Board may issue another license restricted on renewal, refuse to renew the license, or impose other disciplinary action authorized under Section 5 of the Act.

 

d)         During the term of any Owner's license that is for more than one year, the licensee shall annually submit the fee required under Section 3000.210, together with an affidavit attesting to the accuracy of all information previously submitted to the Board, certifying any changes in the information previously submitted, and verifying the following information:

 

1)         Any and all past or pending disciplinary action taken against the licensee or its parent corporation, or parent's subsidiaries, in other jurisdictions;

 

2)         The most recent year end financial statements, and the most recent Form 10K and 10Q filings with the Securities and Exchange Commission by the licensee and its parent company if they are publicly held corporations;

 

3)         Disclosure of any past or pending material litigation involving the licensee, its parent corporation and subsidiaries, and any Key Person;

 

4)         Any plans for changes in the financing, ownership or organization of the licensee;

 

5)         Compliance by the licensee in making all required payments of federal and State taxes; and

 

6)         Any additional information required by the Board.

 

e)         Any bankruptcy, liquidation, reorganization, cessation of gaming operations, or substantial change in the ownership or control of an Owner's license, or an event that adversely affects the character, reputation or financial integrity of the licensee, at any time during the 4 year term of a license, or any restricted term of less than 4 years, may cause the Board to suspend, restrict or revoke the license or impose other discipline authorized under Section 5 of the Act.  The Board may assign the licensee a restricted license and impose other conditions appropriate to the circumstances and deemed necessary by the Board to maintain public confidence in the credibility and integrity of a riverboat gaming operation as required by Section 2(b) of the Act.

 

(Source:  Added at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.238  Appointment of Receiver for an Owner's License

 

a)         Petition for Appointment of Receiver

 

1)         The Board may petition the local circuit court in which the riverboat is situated, as provided under the Code of Civil Procedure, for appointment of a receiver for a riverboat gambling operation when any of the following conditions exist:

 

A)        the Board has suspended, revoked or refused to renew the license of the owner; or

 

B)        the riverboat gambling operation is closing and the owner is voluntarily surrendering the Owner's license.

 

2)         A copy of the petition and notice of a hearing shall be served on the holder of an Owner's license as provided under the Code of Civil Procedure, 735 ILCS 5/2-201 through 2-213.

 

3)         The holder of an Owner's license may seek review before the Illinois Gaming Board for the revocation, non-renewal, or suspension of the license. However, the circuit court in which the Board has filed a petition for a receiver shall have sole jurisdiction over any and all issues pertaining to the appointment of a receiver.  In no instance shall the holder of an Owner's license seek review of the appointment of a receiver or decision of the Board to seek appointment of a receiver under any of the Board's administrative procedures.

 

4)         The Board may seek appointment of a receiver for a riverboat gambling operation on an emergency basis, as provided under the Code of Civil Procedure, and seek appointment of an interim receiver or a receiver pendente lite.

 

5)         The Board shall specify the specific powers, duties, and limitations the Board seeks for the receiver, including but not limited to the authority to:

 

A)        hire, fire, promote and discipline personnel and retain outside employees or consultants;

 

B)        take possession of any and all property, including but not limited to books, records and papers;

 

C)        preserve and/or dispose of any and all property;

 

D)        continue and direct the gaming operations under the monitoring of the Board;

 

E)        discontinue and dissolve the gaming operation;

 

F)         enter into and cancel contracts;

 

G)        borrow money and pledge, mortgage or otherwise encumber the property;

 

H)        pay all secured and unsecured obligations;

 

I)         institute or defend actions by or on behalf of the holder of an Owner's license; and

 

J)         distribute earnings derived from gaming operations in the same manner as admission and wagering taxes are distributed under Sections 12 and 13 of the Riverboat Gambling Act.

 

b)         Receiver and Duties of the Receiver

 

1)         The Board shall submit at least three nominees to the court.  The nominees may be individuals or entities selected from a Board approved list of pre-qualified receivers who meet the same criteria for a finding of preliminary suitability for licensure under Section 3000.230(c)(2)(B) and (C).  In the event that the Board seeks the appointment of a receiver on an emergency basis, the Board shall submit at least two nominees selected from the Board approved list of pre-qualified receivers to the court and shall issue a Temporary Operating Permit to the receiver appointed by the court.

 

2)         A receiver, upon appointment by the court, shall before assuming his or her duties execute and post the same bond as an Owner's licensee pursuant to Section 10 of the Riverboat Gambling Act.

 

3)         The receiver shall function as an independent contractor, subject to the direction of the court.  However, the receiver shall also provide to the Board regular reports and provide any information deemed necessary for the Board to ascertain the receiver's compliance with all applicable rules and laws.  From time to time, the Board may, at its sole discretion, report to the court on the receiver's level of compliance and any other information deemed appropriate for disclosure to the court.

 

4)         The term of the receiver shall be set by the court.

 

5)         The receiver shall provide to the court and the Board at least 30 days written notice of any intent to withdraw from the appointment or to seek modification of the appointment.

 

c)         Compensation

 

1)         The Court shall set the amount of reasonable compensation, fees, and expenses to be assessed and retained by the receiver from the adjusted gross receipts of the riverboat gambling operation, after the payment of wagering taxes and admission taxes and any other State or federal taxes, for the services, costs, and expenses of the receiver or for the persons whom the receiver may engage to assist him or her in performing his or her duties, unless otherwise set by court.  The Board shall provide to the court its recommendation for a reasonable compensation at the time that the Board submits its recommendation for a receiver.

 

2)         The receiver shall maintain and provide to the Court and the Board a complete accounting of all expenses and costs incurred in relation to the receiver's duties.  The receiver shall maintain accounting records for a period of at least five years from the date of termination of the appointment.

 

d)         Effect on the Holder of an Owner's License and the Gaming Operation

            Except as otherwise provided by action of the Board, the gaming operation shall be deemed a licensed operation subject to all rules of the Board.  The receiver, his or her outside employees and consultants, and employees of and suppliers to the gaming operation shall be subject to all rules of the Board.

 

e)         Action of the Board

            If the Board determines to file a Petition for Appointment of Receiver, it shall direct the Administrator to seek representation from the Attorney General and to undertake any and all activities related to the filing of the petition.  The Board shall direct the Administrator to undertake any and all activities related to the monitoring of the gaming operation during the duration of the appointment of a receiver.  The Board may act under this Section when also acting under Sections 3000.110, 3000.230 and 3000.236 as provided in subsection (a)(1) of this Section, or at any time after it issues a final administrative order pursuant to Subparts D and K of this Part.

 

(Source:  Added at 25 Ill. Reg. 94, effective January 8, 2001)

 

Section 3000.240  Supplier's Licenses

 

a)         Initial Licensing

 

1)         Term of License.  An initial Supplier's License issued by the Board shall be for a term of one year.  After the expiration of the one year initial license, the licensee may apply for a renewal Supplier's License in accord with Section 3000.241.

 

2)         Overview of Licensing Procedures.  Applications for Supplier's Licenses shall be subject to the following procedures prior to licensing:

 

A)        Application;

 

B)        Investigation of the applicant;

 

C)        Action of the Board; and

 

D)        Different or additional licensing procedures as required of the applicant by the Board.

 

b)         Investigation of the Applicant and Application.  An applicant is responsible for compliance with all requests for information, documents, or other materials relating to the applicant and the applicant's application.

 

c)         In determining whether to grant such a license, the Board shall consider the character, reputation, financial integrity and experience of the applicant, its Key Persons and any person who controls, directly or indirectly, the applicant.  In addition, the Board shall consider whether the aforementioned applicant and individuals' background, reputation and associations will result in adverse publicity for the State of Illinois and its Riverboat Gaming industry.  In addition, an applicant must demonstrate that it has sufficient competence to provide products or services for the supply of which it seeks licensing.

 

d)         An applicant must satisfy the Board by clear and convincing evidence that the applicant has met the requirements of Section 8 of the Act and Board Rules.

 

e)         Action of the Board

 

1)         If the Board finds the applicant suitable for licensing, it shall direct the Administrator to issue the applicant a Supplier's License upon payment of the applicant's license fee.

 

2)         If the Board finds the applicant not suitable for licensing, it shall issue the applicant a Notice of Denial by certified mail or personal delivery.

 

f)         Request for Hearing

 

1)         An applicant who is served with a Notice of Denial may request a hearing in accord with Section 3000.405.

 

2)         If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's license application.

 

g)         Reapplication for Denied License.  If an applicant is denied a license, the applicant may not reapply for a license within one year from the date on which the Board voted to deny his application, without leave of the Board.

 

h)         Requirements During Licensed Period

 

1)         Annual Fee.  The holder of a Supplier's License shall submit to the Board an annual license fee in accord with the requirements of Section 3000.210.  The holder of a Supplier's License shall pay this annual fee upon initial licensing and every year during a renewal licensing period, including restricted license renewal periods, for the duration of the license.

 

2)         Annual Submissions to the Board

 

A)        The holder of a Supplier's License annually shall submit to the Board an affidavit attesting to or attaching the following information:

 

i)          Any and all past or pending disciplinary actions taken against the licensee in any other jurisdictions;

 

ii)         Any and all equipment, devices and supplies offered for sale or lease in connection with Games authorized under the Act and this Part;

 

iii)        Any and all fees received from management agreements or consulting services with holders of Illinois owner licenses, and the basis for the calculation of fees received;

 

iv)        The most recent year end financial statements, and the most recent Form 10K and 10Q filings with the Securities and Exchange Commission by the licensee and its parent company if they are publicly held corporations;

 

v)         An organizational chart of the licensee showing parent and subsidiary entities in relation to the licensee, including a separate listing of all Key Persons of the licensee;

 

vi)        A list of revenues derived from Illinois sales and/or leases during the previous licensing period, categorized according to date and owner licensee;

 

vii)       Disclosure of any past or pending material litigation;

 

viii)      Any specific plans for changes in the financing, ownership or organization of the licensed entity; and

 

ix)        An affidavit certifying the licensee is in compliance with required payment of all applicable federal and State taxes.

 

B)        The holder of a Supplier's License shall make such annual submissions to the Board upon initial licensing and every year during a renewal licensing period, including restricted license renewal periods.

 

(Source:  Amended at 20 Ill. Reg. 14765, effective October 31, 1996)

 

Section 3000.241  Renewal of Supplier's License

 

a)         Renewal Requirements

            Except as provided in subsection (d), upon the expiration of an initial suppliers license issued pursuant to Section 3000.240, the license may be renewed subject to the provisions of the Act and this Section 3000.241 for a licensure period of four years.  The renewal requirements shall include, but not be limited to, the following:

 

1)         Every fourth year following the initial licensing, the licensee shall provide documentation of the following in lieu of a renewal application:

 

A)        A written statement requesting renewal of the Supplier's license;

 

B)        A written statement verifying past compliance with the annual disclosure affidavit required under Section 3000.240(h)(2)(A);

 

C)        Measures taken by the licensee to assure compliance with the Act and this Part; and

 

D)        Responses to specific questions or concerns raised by the Board in its relicensure investigation and review process.

 

2)         In addition to the information submitted by the licensee pursuant to subsection (a)(1), Key Persons of the licensee who have previously filed Business Entity or Personal Disclosure Forms shall submit disclosure information pursuant to Section 3000.222(e)(2), updating, and attesting to the veracity of, all previously submitted materials and setting forth any required additional or different information from that which has been previously submitted.

 

3)         Materials submitted pursuant to this Section shall be provided at least 90 days prior to the renewal date, and must be accompanied by the required annual licensing fee.

 

4)         Nothing in this Section shall be interpreted to alter the duty to comply with the annual disclosure and fee requirements as set forth in Section 3000.240 or to disclose changes in information as set forth in Section 3000.140.

 

b)         Board Decision

            The Board shall base its renewal of a Supplier's license upon:

 

1)         The timeliness and responsiveness of the information submitted by the licensee as required pursuant to this Section 3000.241;

 

2)         The background, reputation, character and integrity of the Key Persons;

 

3)         The licensee's continuing ability to maintain the quality of its products or services;

 

4)         The overall adherence of the licensee to all requirements of the Act and this Part; and

 

5)         Any other information the Board deems appropriate and necessary to maintain public confidence in the credibility and integrity of gambling operations, as required by Section 2(b) of the Act.

 

c)         Term of Renewed Licenses

            Unless otherwise restricted pursuant to subsection (d), renewed licenses shall be issued for a term of four years.

 

d)         Licenses Restricted on Renewal

 

1)         Upon issuing a renewal license, the Board may restrict the term of or impose conditions upon a license.

 

2)         A restricted license may be issued on renewal in the event the Board has concerns regarding:

 

A)        The nature or quality of a product provided by the licensee in Illinois;

 

B)        The business experience or background of the licensee's Key Persons;

 

C)        The business practices in Illinois and other jurisdictions of the licensee, its Key Persons or any person who directly or indirectly controls the licensee;

 

D)        The licensee's reputation;

 

E)        The licensee's failure to comply with the Act and this Part.

 

3)         The term of a license restricted on renewal shall be for one year from the date of issuance.

 

4)         If, at the conclusion of the one year period for licenses restricted on renewal, the Board deems that the licensee has addressed and rectified the Board's concerns, the Board may issue a four year renewal license.

 

5)         Failure of the licensee to properly address and rectify the Board's concerns within a one year period may result in the issuance of another license restricted on renewal, the non-renewal of the license or disciplinary action authorized under Section 5 of the Act.

 

e)         Action of the Board

 

1)         The Board shall act at a public meeting on the renewal of a suppliers license.

 

2)         If the Board decides to deny license renewal, it shall direct the Administrator to issue a Notice of Denial to the suppliers licensee by certified mail or personal delivery.

 

3)         If the Board decides to issue a restricted license on renewal, it shall direct the Administrator to issue a Notice of Restricted License by certified mail or personal delivery.  Such Notice shall specify the reasons for a restricted license.

 

f)         Request for Hearing

 

1)         A suppliers licensee served with a Notice of Denial may request a hearing in accordance with Section 3000.405.

 

2)         A suppliers licensee served with a Notice of Restricted License on Renewal may request a hearing in accordance with Section 3000.405.

 

3)         If a hearing is not requested, the Notice of Denial or Notice of Restricted License on Renewal becomes the final order of the Board.

 

(Source:  Amended at 38 Ill. Reg. 2808, effective January 8, 2014)

 

Section 3000.242  Amendment to Supplier's Product List

 

A holder of a Supplier's License shall provide written notice to the Board regarding proposed changes to be made to its list of equipment, devices and supplies offered for sale or lease to Riverboat Gaming Operations.  Said changes may be made without leave of the Board unless the Administrator objects to the change within thirty days after receipt of notice, whereupon leave of the Board is required.  If the Board denies the licensee's proposed change in its list of equipment, devices, and supplies offered for sale or lease, the licensee may request a hearing in accord with Section 3000.405.

 

(Source:  Added at 20 Ill. Reg. 14765, effective October 31, 1996)

 

Section 3000.243  Bankruptcy or Change in Ownership of Supplier

 

The bankruptcy, liquidation, reorganization or substantial change in ownership or control of a holder of a Supplier's License or an event which significantly affects the character, reputation or financial integrity of the holder or the quality of its product, at any point in time, may cause the Board to suspend, restrict or revoke the license pursuant to Section 3000.110.  The Board may restrict the license by assigning the licensee a restricted license as provided in Section 3000.241 or through such other restrictions as may be appropriate to the circumstances and necessary to maintain public confidence in the credibility and integrity of gambling operations, as required by Section 2(b) of the Act.

 

(Source:  Added at 20 Ill. Reg. 14765, effective October 31, 1996)

 

Section 3000.244  Surrender of Supplier's License

 

a)         Except as otherwise provided in the Act and this Part, a licensed Supplier may petition the Board, in writing, for permission to surrender its Supplier's License.  The petition shall contain facts setting forth good cause for the surrender of the Supplier's License. 

 

b)         The Board may grant the petition, deny the petition or set the petition for hearing before a duly appointed Administrative Law Judge.  The Board may deny a petition to surrender a Supplier's License if the petition fails to comply with any of the requirements of subsection (a) of this Section. 

 

c)         If the petition to surrender a Supplier's License is set for hearing, the petitioner shall bear the burden of going forward and proving by a preponderance of the evidence that good cause exists for surrender of the Supplier's License.

 

d)         A licensed Supplier may not, without Board approval, surrender its license during the pendency of a disciplinary action against that licensed Supplier.

 

e)         The surrender of a Supplier's License does not become effective until the Board has taken final action.  The surrender of a Supplier's License does not relieve the former licensed Supplier of any penalties, fines, fees, taxes or other obligations due. 

 

f)         The Board's denial of a petition to surrender a Supplier's License is a final decision that becomes a final order on the date the Board denies the petition. Judicial review of the final order of the Board shall be conducted in accordance with the Administrative Review Law [735 ILCS 5/Art. III] pursuant to Section 17.1(b) of the Riverboat Gambling Act [230 ILCS 10/17.1(b)].

 

 (Source:  Added at 28 Ill. Reg. 12824, effective August 31, 2004)

 

Section 3000.245  Occupational Licenses

 

a)         Overview of Licensing Procedures.  Applications for Occupational Licenses shall be subject to the following procedures prior to licensing:

 

1)         Application;

 

2)         Issuance of a temporary  identification badge;

 

3)         Investigation of the applicant;

 

4)         Action of the Board; and

 

5)         Different or additional licensing procedures as required of the applicant by the Board.

 

b)         Temporary Identification Badge Requirements

 

1)         The temporary identification badge shall:

 

A)        Be a white card bearing the name and logo of the Riverboat Gaming Operation;

 

B)        Provide space for a photograph with a minimum size of 1" by 1¼";

 

C)        Display applicant's first name and job title;

 

D)        Provide a space for a 9-digit number;

 

E)        Provide a space for the Administrator's signature;

 

F)         Provide spaces for the dates of issuance and expiration of the temporary badge; and

 

G)        Provide on the reverse side a line for the employee's last name, signature and date of birth.

 

2)         The applicant shall be photographed and fingerprinted.

 

3)         A temporary identification badge will not be issued if the Administrator or his or her designated agent has reason to believe the applicant is the subject of a pending investigation or disciplinary action, or is ineligible for licensing pursuant to Section 9(a)(1) or 9(a)(2) of the Act.  If the temporary identification badge is not issued, the applicant is not permitted to work for the Riverboat Gaming Operation until and unless the Board issues a license to the applicant.

 

4)         Temporary identification badges are valid for up to one year from the date of the application unless extended by the Administrator.  A temporary identification badge is not transferable and upon resignation or termination of employment, must be returned by the Occupational License applicant to the holder of an Owner's License or to the Board.  If returned to the holder of an Owner's License, the holder must then return the badge to the Board.

 

5)         Recission of Temporary Identification Badge

 

A)        The Administrator, upon written notification to the applicant and the holder of the Owner's License, shall rescind an applicant's temporary identification badge upon the issuance of a notice of denial.

 

B)        Following rescission of an applicant's temporary identification badge, the applicant shall not be permitted to work for the Riverboat Gaming Operation until and unless the Board issues a license to the applicant.

 

C)        Following rescission of an applicant's temporary identification badge, the applicant remains entitled to request a hearing on the license denial in accordance with Section 3000.405.

 

c)         Investigation of the Applicant and Application.  An applicant is responsible for compliance with all requests for information, documents or other materials relating to the applicant and his or her application.

 

d)         Action of the Board

 

1)         In determining whether to grant an occupational license, the Board shall consider the character, associations and reputation of the applicant and the qualifications of the applicant to perform the duties of the position to be licensed.

 

2)         If the Board finds the applicant suitable for licensing, it shall direct the Administrator to issue the applicant a license.

 

3)         If the Board finds the applicant not suitable for licensing, it shall issue the applicant a Notice of Denial by certified mail or personal delivery.

 

e)         Request for Hearing

 

1)         An applicant who is served with a Notice of Denial may request a hearing in accordance with Section 3000.405.

 

2)         If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's license application.

 

f)         Reapplication for Denied License.  If an applicant is denied a license, the applicant may not reapply for a license within one year from the date on which the final order of denial was voted upon by the Board, without leave of the Board.

 

g)         Permanent Identification Badge Requirements

 

1)         The permanent identification badge shall:

 

A)        Be of a color selected by the Riverboat Gaming Operation for use on all permanent identification badges utilized by its occupational licensees;

 

B)        Be a card bearing the name and logo of the Riverboat Gaming Operation;

 

C)        Provide space for a photograph with a minimum size of 1" by 1¼";

 

D)        Provide a space for a 9-digit number;

 

E)        Display the employee's first name and job title;

 

F)         Provide a space for the Administrator's signature;

 

G)        Provide a space for the dates of issuance and expiration of applicant's Occupational License;

 

H)        Provide on the reverse side of the card a line for the employee's last name, signature and date of birth.

 

2)         Permanent identification badges are not transferable and upon resignation or termination of employment must be returned by the occupational licensee to the holder of an Owner's License or to the Board.  If returned to the holder of an Owner's License, the holder must then return the badge to the Board.

 

h)         Display of Identification Badges.  Identification badges as required by subsections (b) and (g) shall be worn by all employees during work hours, including those persons employed on the dock site.  Identification badges shall be clearly displayed.

 

i)          A fee of $10.00 shall be paid to the Board for any necessary replacement of identification badges.

 

(Source:  Amended at 41 Ill. Reg. 12840, effective September 28, 2017)

 

Section 3000.246  Renewal of Occupational Licenses

 

a)         The Board may only renew an occupational license after receipt of the annual fee.  The annual fee is due on the last day of the month prior to the month in which the license was issued, unless a later date is authorized in writing by the Administrator.

 

b)         An occupational license shall expire if not renewed.  The date of renewal of an occupational license shall be the first regular Board meeting held in or after the month in which the license was issued.

 

c)         The Board may only renew a license if the licensee continues to meet all qualifications for licensure set forth in the Act and this Part.  Renewal of a license is not a ruling on the merits of any currently pending or future disciplinary action.

 

d)         A licensee whose license is not renewed by its renewal date, including but not limited to a licensee contesting a notice of nonrenewal or revocation of the license, shall still pay its annual fee each year.  Failure to pay the scheduled annual fee shall cause the license to expire.

 

(Source:  Added at 45 Ill. Reg. 14449, effective November 2, 2021)

 

Section 3000.250  Transferability of Licenses

 

Licenses issued by the Board may not be transferred by a licensee to another person or entity.

 

(Source:  Amended at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.260  Waiver of Requirements

 

The Board may waive any licensing requirement or procedure provided by Board rule if it determines that such waiver is in the best interests of the public and the Gaming industry.

 

Section 3000.270  Certification and Registration of Electronic Gaming Devices

 

a)         The Administrator will review all Electronic Gaming Devices for proper mechanical and electronic functioning.  Before certification of an Electronic Gaming Device, the Administrator may employ the services of an independent certification laboratory to evaluate the device.

 

b)         After completing evaluations of the Electronic Gaming Device, the Administrator may certify the Electronic Gaming Device for registration.

 

c)         Gaming shall be prohibited with any Electronic Gaming Device which has not been registered with the Board.

 

d)         The holder of an Owner's License shall not operate in Illinois an Electronic Gaming Device unless the Electronic Gaming Device has an Illinois Gaming Board registration number.

 

e)         The Supplier of the Electronic Gaming Device, after receiving the appropriate documentation, shall reimburse the Board for any cost incurred in any evaluation process.

 

f)         The holder of an Owner's License shall not alter the operation of registered Electronic Gaming Devices and shall maintain the Electronic Gaming Devices in a suitable condition.  Each holder of an Owner's License shall keep a list of any repairs made to Electronic Gaming Devices offered for play to the public.  Repairs include, without limitation, replacement of parts that may affect the Game's outcome or the operation of a Voucher System.  The holder of an Owner's License shall make the list available for inspection by the Administrator upon request.

 

g)         The holder of an Owner's License shall keep a list of the date of each distribution, the serial number of each Electronic Gaming Device, and the Illinois Gaming Board registration number.

 

(Source:  Amended at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.271  Analysis of Questioned Electronic Gaming Devices

 

a)         If the operation of any Electronic Gaming Device is questioned by a Board agent, the questioned device will be examined in the presence of a Board agent and a representative of the owner licensee.  If a malfunction or the cause of a malfunction cannot be cleared or corrected, the Electronic Gaming Device shall be subjected to an EPROM analysis to verify the EPROM's Signature validity. If the Electronic Gaming Device utilizes Non-Alterable Storage Media, the approved protocol will be utilized to verify the validity of the gaming program files.

 

b)         In the event that a malfunction cannot be cleared or corrected following the analysis under subsection (a), the Electronic Gaming Device may be removed from service and secured.  The Electronic Gaming Device may then be transported to an industry-recognized laboratory selected by the Administrator where the device will be fully analyzed to determine the status and cause of the malfunction.  All costs for transportation and analysis will be borne by the owner licensee, and will be billed by the laboratory to the owner licensee and, only if necessary, to the Board.

 

(Source:  Amended at 25 Ill. Reg. 13292, effective October 5, 2001)

 

Section 3000.272  Certification of Voucher Systems

 

a)         The Administrator will review all Voucher Systems for proper mechanical and electronic functioning.  Before certification of a Voucher System, the Administrator may employ the services of an independent certification laboratory to evaluate the system and its components.

 

b)         After completing evaluations of the Voucher System, the Administrator may certify the Voucher System for use in Riverboat Gaming Operations. 

 

c)         The holder of an Owner's License shall not alter the operation of a certified Voucher System and shall maintain the Voucher System in an operable condition.  Each holder of an Owner's License shall keep a list of any repairs made to the Voucher System. Repairs include, without limitation, replacement of parts that may affect the redemption of Vouchers or the operation of a Voucher System. The holder of an Owner's License shall make the list available for inspection by the Administrator upon request.

 

d)         The holder of an Owner’s License, after receiving the appropriate documentation, must reimburse the Board for any cost incurred in any certification or evaluation process.

 

e)         The use of any Voucher System, including Voucher Validation Terminals, that has not been certified by the Board is prohibited.

 

(Source:  Added at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.280   Registration of All Gaming Devices

 

a)         Any holder of an Owner's License who possesses any Gaming Devices shall have a registration tag issued by the Board securely affixed on each device.

 

b)         Registration tags are not transferable from one Gaming Device to another device.

 

c)         Any Gaming Device without a current registration tag shall be subject to seizure.  Any agent of the Board may demand and gain access to any property relating to a Riverboat Gaming Operation, inclusive of Support Facilities, and seize any Gaming Device which does not bear a current registration tag or is operating in a manner that violates any provision of the Act, this Part or an owner licensee's Internal Control System.  Such Gaming Devices, so seized, shall be subject to confiscation and forfeiture.  In the event the Board seizes Gaming Devices in accordance with this Section, the Board shall notify the owner licensee of such seizure and of the owner licensee's right to a hearing under Subpart K of this Part.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.281  Transfer of Registration (Repealed)

 

(Source:  Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.282  Seizure of Gaming Devices (Repealed)

 

(Source:  Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.283  Analysis of Questioned Electronic Gaming Devices (Repealed)

 

(Source:  Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.284  Disposal of Gaming Devices

 

The holder of an Owner's License shall not dispose of an Electronic or Live Gaming Device without prior written approval from the Administrator.  The owner licensee shall dispose of other Gaming Equipment only as prescribed in its approved Internal Control System.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.285  Certification and Registration of Voucher Validation Terminals

 

a)         The Administrator will review all Voucher Validation Terminals for proper mechanical and electronic functioning.  Before certification of a Voucher Validation Terminal, the Administrator may employ the services of an independent certification laboratory to evaluate the Terminals.

 

b)         After completing evaluations of a Voucher Validation Terminal, the Administrator may certify a Voucher Validation Terminal for registration.

 

c)         Any holder of an Owner's License who possesses any Voucher Validation 

Terminals shall have a registration tag issued by the Board securely affixed on each device.

 

d)         Registration tags are not transferable from one Voucher Validation Terminal to another Terminal.

 

e)         The holder of an Owner's License shall not alter the operation of registered

Voucher Validation Terminals and shall maintain each Voucher Validation Terminal in a suitable condition.  Each holder of an Owner's License shall keep a list of any repairs made to each Voucher Validation Terminal.  Repairs include, without limitation, replacement of parts that may affect the redemption of Vouchers or the operation of a Voucher System. The holder of an Owner's License shall make the list available for inspection by the Administrator upon request.

 

f)         The holder of an Owner's License shall keep a list of the date of each distribution, the serial number of each Voucher Validation Terminal, and the Illinois Gaming Board registration number.

 

(Source:  Added at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.286  Contracting Goals for Owners Licensees

 

a)         For purposes of this Section:

 

1)         The terms "minority", "minority owned business", "women owned business", and "business owned by a person with a disability" shall have the meanings ascribed to them in Section 2 of the Business Enterprise for Minorities, Women, and Persons with Disabilities Act [30 ILCS 575].

 

2)         "Veteran" has the meaning ascribed in Section 10 of the Veterans Preference in Private Employment Act [330 ILCS 56].

 

3)         "Veteran owned business" is a business that is at least 51% owned by one or more veterans or, in the case of a corporation, at least 51% of the stock of which is owned by one or more veterans, and the management and daily operations of which are controlled by one or more of the veterans who own it.

 

4)         "Contract" is an agreement for the provision of goods or services to an owners licensee.

 

5)         "Contracting goal" is the goal established by the Board for the award of contracts by each owners licensee to businesses owned by minorities, women, persons with disabilities and veterans, expressed as percentages of an owners licensee's total dollar amount of contracts awarded during each calendar year [230 ILCS 10/7.6(b)] except for contracts excluded from the coverage of this Section by subsection (b)(3) .

 

6)         "Good faith effort" is the effort of an owners licensee to achieve a contracting goal.  A "good faith" effort shall require an owners licensee to give consideration in the awarding of contracts to qualified businesses owned by minorities, women, persons with disabilities, and veterans that are located in Illinois.  A "good faith effort" shall require the following actions by an owners licensee:

 

A)        Outreach by an owners licensee to associations of minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veterans whose areas of operation include the unit of local government where the owners licensee's riverboat gambling operation is located, to request their assistance in identifying and contacting businesses owned by minorities, women, persons with disabilities, and veterans that may be appropriate candidates for contract awards by the owners licensee.

 

B)        Publication on a continuing basis in an owners licensee's website and, at least annually, in the official State newspaper, of a statement informing potential bidders how to obtain more detailed information from the owners licensee about future contracts to be entered into by the owners licensee, including price, occupational, and materials specifications.  In addition, the owners licensee shall distribute this statement to the Business Enterprise Program of the Department of Central Management Services established under the Business Enterprise for Minorities, Women, and Persons with Disabilities Act, the Director of the Department of Commerce and Economic Opportunity and the Director of the Department of Veterans' Affairs.

 

7)         "Dollar percentage" is the percentage of the total dollar value of an owners licensee's vendor contracts with minority owned businesses, women owned businesses, or businesses owned by a person with a disability during a calendar year, to the total dollar amount of all vendor contracts entered into by the owners licensee during that calendar year, except for contracts covered under subsection (b)(2).

 

8)         "Emergency" is a situation in which one or more of the following have occurred or are at imminent risk of occurring:

 

A)        Damage or disruption to all or part of a riverboat gambling operation; or

 

B)        Danger to the health, safety, comfort or welfare of patrons or employees.

 

b)         For each calendar year, the Board shall establish benchmark contracting goals, as defined in subsection (a)(5), for each owners licensee expressed as a dollar percentage as defined in subsection (a)(7).  Separate benchmark contracting goals shall be established for minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses. A benchmark contracting goal shall provide for the greatest reasonable dollar percentage, consistent with the ability of vendors that are not minority owned businesses, women owned businesses, businesses owned by persons with disabilities, or veteran owned businesses to bid fairly on contracts and not incur discrimination in contract selection based on their non-inclusion in a category of businesses subject to a contracting goal.

 

1)         Beginning August 1, 2020, the benchmark contracting goals under this Section shall be the following:

 

A)        11% for minority owned businesses;

 

B)        7% for women owned businesses;

 

C)        2% for businesses owned by persons with disabilities; and

 

D)        3% for veteran owned businesses.

 

2)         By December 1 of each calendar year, each owners licensee shall submit to the Board separate proposed contracting goals for the coming calendar year for minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses.  The final contracting goals for each calendar year shall be established through a process of consultation with each owners licensee and subsequent Board evaluation and approval.  The final contracting goals shall be based on the numbers and dollar amounts of new and renewed contracts, as well as the owners licensee's evaluation of the availability of minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses that are qualified to perform the new and renewed contracts, and located in sufficient geographical proximity to the owners licensee to be reasonable candidates for contract selection.  The final contracting goals for each owners licensee shall approach, at a minimum, the benchmark contracting goals of subsection (b)(1) as closely as the Board deems practicable.  The Board may conduct fact-finding hearings to determine the appropriateness of a final contracting goal.

 

3)         When setting the goals for the award of contracts, the Board shall not include contracts in which:

 

A)        any purchasing mandates would be dependent upon the availability of minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned firms ready, willing, and able with capacity to provide quality goods and services to a gaming operation at reasonable prices;

 

B)        there are no or a limited number of licensed suppliers as defined by the Act for the goods or services provided to the licensee;

 

C)        the licensee or its parent company owns a company that provides the goods or services;

 

D)        the goods or services are provided to the licensee by a publicly traded company [230 ILCS 10/7.6(b)]; or

 

E)        The contract is entered into in response to an emergency.

 

4)         An owners licensee may satisfy its goal for the award of contracts, in whole or in part, by counting the total dollar amount of first and second tier subcontracts and purchase orders to businesses certified as vendors under the Business Enterprise for Minorities, Women, and Persons with Disabilities Act or by any other certifying agency approved by the Board.

 

c)         In evaluating whether an owners licensee has made a good faith effort as defined in subsection (a)(6), the fulfillment of a contracting goal as defined in subsection (a)(5) shall be significant but not determinative.  An owners licensee that has failed to meet a contracting goal nevertheless may be deemed to have complied with the provisions of this Section if it can establish that it has made diligent efforts to achieve the contracting goal through outreach, advertising or other types of efforts designed to inform minority owned businesses, women owned businesses, businesses owned by persons with disabilities, or veteran owned businesses about potential contracting opportunities with the owners licensee and has engaged in a fair bidding process.

 

d)         The owners licensee shall have the right to request a waiver from the requirements of this Section. The Board shall grant the waiver when the owners licensee demonstrates that there has been made a good faith effort to comply with the goals for participation by minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses. [230 ILCS 10/7.6(d)]

 

e)         If the Board determines that its goals and policies are not being met by an owners licensee, then the Board may:

 

1)         Recommend remedies for those violations; and

 

2)         Recommend that the owners licensee provide additional opportunities for participation by minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses; the recommendations may include, but shall not be limited to:

 

A)        Assurances of stronger and better focused solicitation efforts to obtain more minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses as potential sources of supply;

 

B)        Division of job or project requirements, when economically feasible, into tasks or quantities to permit participation of minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses;

 

C)        Elimination of extended experience or capitalization requirements, when programmatically feasible, to permit participation of minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses; and

 

D)        Identification of specific proposed contracts as particularly attractive or appropriate for participation by minority owned businesses, women owned businesses, businesses owned by persons with disabilities, and veteran owned businesses, such identification to result from and be coupled with the efforts described in subsections (e)(2)(A) through (C).  [230 ILCS 10/7.6(e)]

 

f)         The Board shall not establish any type of quota in connection with its enforcement of this Section and Section 7.6 of the Act.

 

g)         By March 31 of each year, each owners licensee shall file with the Board an annual report of its utilization of minority owned businesses, women owned businesses, and businesses owned by persons with disabilities during the preceding calendar year.  The reports shall include a self-evaluation of the efforts of the owners licensee to meet its goals under this Section. [230 ILCS 10/7.6(c)]  Beginning in calendar year 2021, this report shall include information on an owners licensees' utilization of veteran owned businesses.

 

h)         The dollar percentages for an owners licensee shall be determined according to data in an owners licensee's annual report submitted to the Board under subsection (g).

 

(Source:  Amended at 44 Ill. Reg. 13653, effective August 6, 2020)

 

Section 3000.287  Independent Outside Testing Laboratories

 

a)         Any independent outside testing laboratory that holds an accreditation in accordance with ISO/IEC 17025 by an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Agreement and is authorized to perform independent testing laboratory services in a gaming jurisdiction comparable to Illinois is licensed to perform independent testing laboratory services in Illinois, subject to the requirements of this Subpart.

 

b)         A "gaming jurisdiction comparable to Illinois" means a jurisdiction with more than one casino that operates a mix of slot machines and table games approved by the regulator.  For purposes of this subsection, "slot machines" and "table games" shall have the meanings ascribed in Section 4 of the Illinois Gambling Act.

 

c)         Any independent outside testing laboratory may apply by submitting to the Administrator its accreditations and the jurisdictions in which it is authorized to perform independent testing laboratory services.

 

d)         The Administrator shall determine whether the jurisdictions in which the applicant independent outside testing laboratory is licensed to perform independent testing laboratory services is a gaming jurisdiction comparable to Illinois.

 

e)         The Administrator shall provide a written determination whether the applicant independent outside testing laboratory meets the criteria in subsection (a).

 

f)         If the Administrator determines that the applicant independent outside testing laboratory does not meet the criteria in subsection (a), the applicant may request a determination by the Board, in writing, within 21 days after the date of service of the Administrator's determination.

 

(Source:  Added at 44 Ill. Reg. 521, effective December 30, 2019)

 

Section 3000.288  Minimum Duties of Independent Outside Testing Laboratories

 

a)         As a condition of licensure, a licensed independent outside testing laboratory is obligated to do the following:

 

1)         Provide support contacts to the Board who are available 24 hours per day, seven days per week.

 

2)         Provide written reports regarding casino testing and test results submitted, which include, at a minimum:

 

A)        All testing performed;

 

B)        A description of the products tested;

 

C)        The unique identification code or signature, as approved by the Administrator, assigned to the product;

 

D)        A secure hash using a cryptographic function designated by the Administrator;

 

E)        A list of pay tables or other settings on the tested product, if applicable;

 

F)         A description of the modifications between the tested product and previous versions of the tested product, if applicable; and

 

G)        A list of components with which the product was verified to be compatible.

 

3)         Provide the Board and its staff with real-time online access to all casino testing services, reports and documents via secure communication protocol and allow the Board to view updated reports of all pending, approved and obsolete video gaming terminals and any terminals for which the Administrator's approval has been revoked (see 11 Ill. Adm. Code 1800.940(d)).

 

4)         Disclose all locations of any laboratory or factory at which independent outside testing services may be conducted.  Upon request of the Board, the licensed independent outside testing laboratory shall reimburse the Board for all travel costs, in accordance with CMS travel regulations (80 Ill. Adm. Code 1800), incurred by up to two Board employees to inspect each laboratory or facility annually.

 

5)         Assign a unique identification code or signature, as approved by the Administrator, and a secure hash using a cryptographic function designated by the Administrator to all Critical Program Storage Media upon testing.  For purposes of this subsection (a)(5), "Critical Program Storage Media" means any program storage media containing software that is involved in, or that significantly influences, the operation and calculation of game play, game display, game result determination, game accounting, revenue or security.

 

A)        Software in program storage media includes, but is not limited to:

 

i)          game accounting software;

 

ii)         system software; and

 

iii)        peripheral firmware devices.

 

B)        Critical Program Storage Media shall be verified utilizing an external third-party methodology approved by the Administrator.

 

C)        Critical Program Storage Media may be required, as determined by the Administrator, to have security seals attached.

 

6)         Conduct its operations in a manner that does not reflect adversely on the security or integrity of gaming in the State of Illinois.

 

7)         Conduct its operations in a manner that deals fairly with other licensees of the Board.

 

8)         Conduct its operations in accordance with Section 3000.110.

 

b)         In addition to the violations in Section 3000.110, any violation of the requirements of this Section may result in discipline in accordance with Section 3000.110.

 

c)         Any licensed independent outside testing laboratory that fails to maintain its accreditation in accordance with Section 3000.287(a) shall have its license suspended until such time as the independent outside testing laboratory reobtains its qualifications.

 

(Source:  Added at 44 Ill. Reg. 521, effective December 30, 2019)

 

Section 3000.300  General Requirements – Internal Control System

 

The holder of an Owner's License shall establish, maintain and update an Internal Control System, the purposes and the procedures of which shall be designed to reasonably insure that:

 

a)         Assets are safeguarded;

 

b)         Financial records are accurate and reliable;

 

c)         Transactions are performed only in accordance with the specific or general authorization of the holder of an Owner's License;

 

d)         Transactions are recorded adequately to permit proper reporting of Adjusted Gross Receipts and of fees and taxes, to maintain accountability for assets, and in conformity with generally accepted accounting principles;

 

e)         Access to assets is permitted only by authorized personnel;

 

f)         Recorded accountability for assets is compared with actual assets at reasonable intervals and appropriate action is taken with respect to any discrepancies;

 

g)         Functions, duties and responsibilities are appropriately segregated and performed in accordance with sound practices by competent, qualified personnel;

 

h)         Gaming is conducted with integrity; and

 

i)          The Act and rules of the Board are followed.

 

(Source:  Amended at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.310  Approval of Internal Control System

 

a)         The Board has delegated to the Administrator responsibility for approving, on behalf of the Board, the Internal Control Systems of Owner Licensees if the Administrator finds that the Internal Control System meets the requirements of Sections 3000.300 and 3000.320 of this Part.

 

b)         The Internal Control System of an applicant that is found preliminarily suitable must be initially approved by the Administrator prior to the commencement of Gaming operations.

 

c)         Proposed changes to the Internal Control System must be submitted in writing to the Administrator for approval.  No Internal Control System change may be implemented by the Owner Licensee unless approved by the Administrator.

 

d)         The holder of an Owner's License is subject to Board disciplinary action for violations of its Internal Control System.

 

e)         Employees of a Riverboat Gaming Operation are subject to disciplinary action by the Board for the violation of an Owner Licensee's Internal Control System.

 

f)         The Internal Control System of each Owner Licensee or applicant found preliminarily suitable may be reviewed for compliance with the requirements of these rules by an independent certified public accountant selected by the Administrator.  Each certified public accountant must be registered in the State of Illinois under the Illinois Public Accounting Act.

 

(Source:  Section repealed, new Section adopted at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.320  Minimum Standards for Internal Control Systems

 

a)         Subject to the approval process outlined in Section 3000.310, the Internal Control System shall be updated in a timely manner to reflect changes made by the Owner Licensee in operating procedures, changes required by the Administrator and changes recommended by external or compliance auditors.  Each Owner Licensee shall provide copies of its approved Internal Control System and any modifications of that system to the Administrator.

 

b)         The Internal Control System shall include a detailed narrative description of the Owner Licensee's Gaming, administrative and accounting procedures, including without limitation separate sections comprehensively describing the specific procedures that the Owner Licensee will follow in meeting the requirements of Section 3000.300.  The procedures shall discuss at a minimum, when applicable, the topics listed in subsection (c) of this Section. The Board will provide guidelines to further assist Owner Licensees in meeting the requirements of this Subpart by maintaining and making available to Owner Licensees and applicants its review guidelines entitled Minimum Internal Control Standards (MICS).

 

c)         The Internal Control System shall address the following topics:

 

1)         Submission, Approval, and Amendment of Internal Control System

 

2)         General and Administrative

 

A)        General – Organization Chart and Job Duties

 

B)        Management Information System (MIS)

 

3)         Sensitive Key Controls

 

A)        General – Location and Access

 

B)        Sensitive Key Procedures

 

C)        Sensitive Key Access List

 

D)        Sensitive Key Log

 

E)        Broken, Lost or Missing Keys

 

4)         Live Games (Table Games)

 

A)        Disposal of Live Gaming Devices, Equipment and Layout

 

B)        Table Inventory

 

C)        Opening of Gaming Tables

 

D)        Shift Change at Gaming Tables

 

E)        Closing of Gaming Tables

 

F)         Table Fills

 

G)        Table Credits

 

H)        Accepting Cash at Gaming Tables

 

I)         Markers Issued at Gaming Tables

 

J)         Cards and Dice Control

 

K)        Control over Table Layouts

 

L)        Tips and Gratuities

 

M)       Statistics

 

5)         Rules of the Game – For Each Authorized Game Played

 

A)        Object of Game and Method of Play

 

B)        Physical Characteristics of Gaming Equipment and Table

 

C)        Permissible Wagers and Payout Odds

 

D)        Inspection Procedures for Gaming Equipment

 

E)        Collection of Bets and Payout Procedures

 

F)         Dispute Arbitration

 

G)        Suspected Cheating Procedures

 

H)        Dealer Relief

 

I)         Suspected Defective or Malfunctioning Equipment

 

J)         For Games Using Cards

 

i)          Shuffling Procedures

 

ii)         Card Cutting Procedures

 

iii)        Dealing and Taking Card Procedures

 

iv)        Burning Cards Procedures

 

6)         Electronic Gaming Devices (EGDs)

 

A)        General – EGD Access and Computer Monitoring Procedures

 

B)        Voucher Systems

 

C)        Printer Paper Replacement

 

D)        Hopper Fills

 

E)        Hand-Paid Payouts

 

F)         Other EGD Occurrences

 

G)        Issuance of Markers at EGDs

 

H)        Location, Conversion and Movement of EGDs

 

I)         Resetting/Clearing the Random Access Memory (R.A.M.)

 

J)         Statistics

 

7)         Live Games and EGD Drops and Counts

 

A)        Drop Devices, Separate Drop and Count Procedures

 

B)        Table Game Drop Box Characteristics

 

C)        Emergency Table Game Drop Boxes

 

D)        EGD Drop Bucket Characteristics

 

E)        Bill Validator Drop Box Characteristics

 

F)         Emergency Bill Validator Drop Boxes

 

G)        Collection/Transportation of Drop Devices

 

H)        Soft and Hard Count Rooms Characteristics

 

I)         Count Standards

 

J)         Weight Scale Standards (Hard Count)

 

K)        Counting and Recording Drops

 

8)         Casino Cashiering and Credit

 

A)        Fills, Credits, Markers, Payouts and Drops

 

B)        Location and Functions

 

C)        Casino Cage Accountability

 

D)        Main Bank/Vault Accountability

 

E)        Even Exchanges

 

F)         Chip and Token Inventories

 

G)        Credit Transactions

 

H)        Issuance of Markers

 

I)         Redemption and Consolidation of Markers

 

J)         Redemption of Vouchers

 

K)        Customer Deposits and Withdrawals

 

L)        Check Cashing Privileges

 

M)       Returned Checks

 

N)        Other Cash Transactions

 

O)        Redemption of Gratuities for Non-Gaming Employees

 

P)         Exchange of Foreign Tokens

 

Q)        Coupon Redemption and Other Complimentary Distribution Programs

 

9)         Casino Accounting

 

A)        Accounting Records

 

B)        Controls over Locked Accounting Box

 

C)        Storage of Unused Forms

 

D)        Signature Records

 

E)        Deposit of Admission Tax and Wagering Tax

 

F)         Sensitive Key Logs

 

G)        Complimentary Services

 

H)        Procedures for Monitoring and Reviewing Gaming Operations

 

I)         Casino Accounts Receivable

 

J)         Monthly Reporting Requirements

 

10)       Admissions

 

            Admission Procedures and Computation of Admission Tax

 

11)       Currency Transaction Reporting

 

A)        Reporting Requirements, Federal and State Regulations, Alternative Systems

 

B)        Reportable Transactions

 

C)        Obtaining and Verifying Identification

 

D)        Logging Cash Transactions

 

E)        Circumvention of Currency Transaction Reporting Requirements

 

F)         Currency Transaction Reports

 

G)        Surveillance Photographs

 

12)       Internal Audit

 

A)        Independent Internal Audit Department

 

B)        Required Internal Audits

 

C)        Reporting Guidelines

 

D)        Review of Changes to the ICS

 

13)       Surveillance

 

A)        Independent Surveillance Department

 

B)        Surveillance Room Access and Control

 

C)        Daily Operations

 

D)        Chain of Evidence

 

14)       Security

 

A)        Security Department

 

B)        Notice to Gaming Board

 

C)        Detailed Procedures for:

 

i)          Case Number System/Incident Reports

 

ii)         Lost Badges/Temporary Badges

 

iii)        Visitor/Vendor Badges

 

iv)        Use of Metal Detectors

 

v)         Fund Transfer Control

 

vi)        Power Failure/Camera Outage

 

vii)       Enforcement of Gambling Restrictions/21 Years Old Minimum

 

viii)      Firearms Prohibition

 

ix)        Alcohol Beverage Control

 

x)         Disorderly/Disruptive Patrons

 

xi)        Trespass Policy

 

xii)       Handling of Emergencies

 

xiii)      Eviction Procedures

 

15)       Purchasing and Contract Administration

 

A)        General – Purchases and Contracts, Leases, Management Contracts, Owners

 

B)        Statement of Policy

 

C)        Normal Purchasing Transactions

 

D)        Capital Expenditures

 

E)        Related Party Transactions

 

16)       Forms

 

A)        Forms Index

 

B)        General – Forms Requirements

 

C)        Signatures

 

D)        Control of Forms

 

E)        Numbering

 

F)         Manual Forms Dispensers

 

G)        Voiding Forms

 

H)        Forms Description

 

(Source:  Amended at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.330  Review of Procedures (Repealed)

 

(Source:  Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.340  Operating Procedures (Repealed)

 

(Source:  Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.350  Modifications (Repealed)

 

(Source:  Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.400  Coverage of Subpart

 

This Subpart shall govern all hearings requested upon issuance of a Notice of Denial or Restriction of licensure, Notice of Denial of an application for transfer of ownership interest,  a Notice of Placement on the Board Exclusion List, Petition for Removal from the Board Exclusion List or Petition for Removal from the Self-Exclusion List, except that Section 3000.405(a), (b), (c) and (d) shall not apply to hearings on Petitions for Removal from the Board Exclusion List or the Self-Exclusion List.  Hearings under this Subpart are de novo proceedings for the creation of an evidentiary record regarding restriction of license, the placement of an individual on an exclusion list or an applicant's suitability for licensure or transfer.  A hearing under this Subpart is not an appeal of Board action.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.405  Requests for Hearings

 

a)         All requests for hearings must:

 

1)         Be in writing;

 

2)         State the name, current address and current telephone number of the petitioner; and

 

3)         State in detail the reasons why and the facts upon which the petitioner will rely to show, in cases involving licensing or transfer of ownership, that the petitioner is suitable for licensure or transfer, including specific responses to any facts enumerated in the Board's Notice of Denial.  In matters involving exclusion, the petitioner shall state in detail the reasons why and the facts upon which the petitioner will rely to demonstrate why he should not be excluded.  In matters involving restriction of licensure the petitioner shall state in detail the reasons why and the facts upon which the petitioner will rely to demonstrate why the license should not be restricted.

 

4)         All requests for hearings must be verified.  Such verification shall be notarized and shall include a certification in the following form:

 

            The undersigned certifies that the statements set forth in this request for hearing are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he verily believes the same to be true.

 

b)         A request for hearing must be submitted within five days after the date of delivery of the Notice of Denial or Restriction of license.  A request for hearing must be submitted within 30 days after the date of delivery of Notice of Exclusion.

 

1)         The petitioner may submit a request for hearing by:

 

A)        Personal Delivery;

 

B)        Certified Mail, postage prepaid; or

 

C)        Overnight express mail, postage prepaid.

 

2)         All requests for hearings must be submitted to the Administrator, with a copy sent to the Chief Legal Counsel at the Board's offices in either Springfield or Cook County.

 

3)         A request for hearing submitted by certified mail or overnight express mail shall be deemed timely submitted if it is postmarked no later than five days after date of delivery of a Notice of Denial or Restriction in accordance with the Act, or 30 days after service of the Notice of Exclusion.

 

c)         A request for hearing should be deemed granted, unless denied.  The Board may deny a request for hearing if the statement of reasons and facts which it contains does not establish a prima facie case or fails to comply with any of the other requirements of subsection (a) or (b) of this Section.  The Board's denial of a request for hearing is a final decision, and the denial or restriction of licensure, denial of ownership transfer, or the order of exclusion becomes a final order on the date the Board denies the request for hearing.

 

d)         A request for hearing may not be withdrawn or voluntarily dismissed if the Board determines that withdrawal or voluntary dismissal is not in the best interests of the public and the Gaming industry.  If the Board allows a petitioner to withdraw a hearing request, the initial denial or restriction of license or the order of exclusion becomes a final Board order on the date leave to withdraw is granted.  If the Petitioner does not prosecute his case after 21 days, the Board may move for entry of default judgment. Failure to prosecute shall result in the entry of a default judgment against Petitioner.

 

e)         The Chairman of the Board may appoint a Board member or an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an Administrative Law Judge to conduct a hearing in accordance with this Subpart.  If designated, the Administrator may appoint the Administrative Law Judge to conduct a hearing in accordance with this Subpart.  The petitioner will be copied on the letter of appointment and such letter will serve as notice of the pendency of the hearing.  The Administrative Law Judge shall establish a status date and notify the parties thereof.

 

f)         If the petitioner believes the Administrative Law Judge is biased or has a conflict of interest, the petitioner may file with the Board a motion to disqualify the Administrative Law Judge from conducting the hearing.  The motion must be in writing, accompanied by an affidavit signed and dated by the petitioner setting forth the specific grounds for disqualification.  The petitioner shall serve a copy of the motion on the Administrative Law Judge. Prior adverse rulings against the petitioner or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification.  On satisfactory evidence submitted by the petitioner in support of the motion to disqualify, the Board shall remove the Administrative Law Judge and provide for the reassignment of the case to another Administrative Law Judge to continue the hearing.  Any Administrative Law Judge may voluntarily disqualify himself or herself upon determining that bias or conflict of interest exists.  Grounds for disqualification of an Administrative Law Judge shall include, but not be limited to:

 

1)         Financial interest or pecuniary benefit derived from the gaming industry;

 

2)         Personal friendship with any of the parties, witnesses or attorneys involved;

 

3)         Past representation of any of the parties or witnesses involved; and

 

4)         Demonstrable pre-disposition on the issues.

 

            If the motion to disqualify an Administrative Law Judge is denied, the Board shall set forth in writing the reasons for the denial and the Administrative Law Judge will proceed with the hearing.  The motion to disqualify the Administrative Law Judge and the reasons for the denial of the motion will be part of the administrative record in the appeal of a final administrative decision upon conclusion of the hearing.

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.410  Appearances

 

a)         A petitioner may be represented by an attorney who is licensed in Illinois. All attorneys who appear in a representative capacity on behalf of a petitioner must file written notice of appearance setting forth:

 

1)         The name, address and telephone number of the attorney(s);

 

2)         The name and address of the petitioner represented; and

 

3)         An affirmative statement indicating that the attorney is licensed in Illinois.

 

b)         Only individual attorneys may file appearances.  Any petitioner's attorney who has not filed an appearance may not address the hearing officer or sign pleadings.

 

c)         An attorney may only withdraw his appearance upon written notice to the hearing officer.

 

d)         A petitioner may appear on his own behalf.

 

e)         A partnership may be represented by a partner.

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.415  Discovery

 

a)         Upon written request served on the opposing party, a party shall be entitled to:

 

1)         The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party; and

 

2)         All documents or other materials in the possession or control of the opposing party which the opposing party reasonably expects will be necessary to introduce into evidence.  Petitioner's burden of production includes those documents Petitioner reasonably expects to introduce into evidence either in his case-in-chief or in rebuttal.  Rebuttal documents, to the extent they are not immediately identifiable, shall be tendered to Respondent within two weeks after receipt of documents tendered to Petitioner by Respondent unless additional time is granted by the hearing officer.

 

b)         Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a) of this Section.  Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.420  Motions for Summary Judgment

 

The hearing officer may recommend the granting or denial of a summary judgment motion upon the filing of an appropriate motion by any party. A recommendation for denial of a summary judgment motion shall not be considered by the Board until the completion of proceedings held pursuant to Section 3000.425.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.424  Subpoena of Witnesses

 

a)         Subpoenas for the attendance of witnesses at hearing may be served by the Petitioner only upon application to the hearing officer.

 

1)         The Petitioner must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

 

2)         An agent or employee of the Board may not be required by the Petitioner to appear except under the procedures provided in this Section.

 

b)         The Chief Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart D.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.425  Proceedings

 

a)         The burden of proof is at all times on the petitioner.  The petitioner shall have the affirmative responsibility of establishing by clear and convincing evidence that the petitioner is suitable for licensing or a transfer of ownership,  that the petitioner should not be excluded under Section 3000.720, that the petitioner's name should be removed from the Board Exclusion List under Section 3000.740 or that the petitioner's name should be removed from the Self-Exclusion List under Section 3000.785.

 

b)         Any testimony shall be given under oath or affirmation.

 

c)         Both parties may present an opening statement on the merits.  Petitioner proceeds first.

 

d)         The petitioner shall then present its case-in-chief.

 

e)         Upon conclusion of the petitioner's case-in-chief, the respondent may move for a directed finding.  The hearing officer may hear arguments on the motion or may grant, deny or reserve decision thereon, without argument.

 

f)         If no motion for directed finding is made, or if such motion is denied or decision reserved thereon, the respondent may present its case.

 

g)         Each party may conduct cross-examination of adverse witnesses.

 

h)         Upon conclusion of the respondent's case, the petitioner may present evidence in rebuttal.

 

i)          Both parties may present closing argument.  The petitioner proceeds first, then the respondent and thereafter the petitioner may present rebuttal argument.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.430  Evidence

 

a)         The hearing need not be conducted according to technical rules of evidence.  Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in a civil action.  Hearsay may support a finding of the Administrative Law Judge if it is the best evidence available, has sufficient indicia of trustworthiness and reliability and is of the type reasonably and customarily relied on in the gaming industry.

 

1)         If relevant, and not precluded from the hearing by Section 6(d) of the Act relating to all license applicants under the Act and these Rules, official Illinois Gaming Board records or certified copies thereof shall be admissible into evidence.

 

2)         Official Illinois Gaming Board records are documents either prepared by or provided to the Board for use in evaluating an applicant or for use in determining whether an individual should be excluded from a Riverboat Gaming Operation.

 

3)         A petitioner must afford the Board an opportunity to investigate and verify information that petitioner intends to offer in support of his case. Petitioner shall not be permitted to introduce into evidence any information which the Board has not been afforded the opportunity to investigate and verify.

 

b)         The parties should, to the fullest extent possible, stipulate to all matters which are not or fairly should not be in dispute.

 

c)         The parties may make objections to evidentiary offers.  When an objection is made, the hearing officer may receive the disputed evidence subject to a ruling at a later time.

 

d)         The hearing officer may take official notice of any generally accepted information or technical or scientific matter within the field of gaming, and any other fact which may be judicially noticed by courts of this State.  The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute such information.

 

Section 3000.431  Prohibition on Ex Parte Communication

 

A party or its representative shall not communicate directly or indirectly with the hearing officer regarding any pending matter, except upon notice to and opportunity for all parties to participate.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.435  Sanctions and Penalties

 

a)         The hearing officer may impose sanctions and penalties if the hearing officer finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process.  Such sanctions and penalties include but are not limited to default judgment or directed finding on one or more issues.

 

b)         If a petitioner fails to testify on his own behalf with respect to any question propounded to him, the hearing officer may infer therefrom that such testimony or answer would have been adverse to the case of the party refusing to testify.

 

c)         If the petitioner or its agent fails to answer a subpoena or refuses to testify fully at the request of the Board, such failure or refusal may be deemed independent grounds for a finding that the petitioner is unsuitable for licensing or that the petitioner should be placed or remain on the Board Exclusion List or that the petitioner should remain on the Self-Exclusion List.  In addition, the hearing officer may infer therefrom that such testimony would have been adverse to the petitioner.

 

d)         Failure of petitioner to appear at a hearing shall constitute an admission of all matters and facts contained in the Notice of Denial.  In such cases the hearing officer may take action based upon such admission or upon any other evidence, including affidavits, without any further notice to the petitioner.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.440  Transmittal of Record and Recommendation to the Board

 

a)         The record shall consist of the following:

 

1)         The Notice of Denial or Notice of Exclusion, the Request for Hearing and all motions and rulings thereon;

 

2)         All evidence received;

 

3)         A statement of matters officially noticed;

 

4)         Offers of proof, objections and rulings thereon;

 

5)         The recommendations and any findings of fact and conclusions of law made by the hearing officer.

 

b)         Oral proceedings or any part thereof involving contested issues shall be recorded stenographically or by such other means as to adequately insure the preservation of such testimony or oral proceedings and shall be transcribed on request of any party.  The transcript shall be paid for by the requesting party.

 

c)         Upon conclusion of the hearing, the hearing officer shall issue to the Board written findings of fact and conclusions of law and his or her recommendations. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

 

d)         Any party to the hearing may file exceptions to the recommendations of the hearing officer with the Board no later than 14 days after receipt of the recommended decision.  Exceptions shall specify each finding of fact and conclusion of law to which exception is taken.  There shall be no oral argument on exceptions.

 

e)         Final Board Order

 

1)         The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

 

2)         Copies of the final Board order shall be served on petitioner by personal delivery, certified mail or overnight express mail.

 

3)         A final Board order shall become effective upon personal delivery to a party or upon posting by certified or overnight express mail.

 

(Source:  Amended at 40 Ill. Reg. 12776, effective August 19, 2016)

 

Section 3000.445  Status of Applicant for Licensure or Transfer Upon Filing Request for Hearing

 

An applicant who has been denied a license or seeks transfer of an ownership interest and has requested a hearing under this Subpart shall still be considered an applicant for purposes of compliance with applicable statutory provisions and Board Rules.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.500   Riverboat Cruises

 

a)         Gaming may be conducted while a Riverboat is docked. In the event the holder of an Owner's license decides to cruise, the Riverboat captain shall decide whether to cancel or disrupt a cruise.

 

b)         For the purpose of orderly ingress of passengers to a Riverboat, in the event of a cruise, the owner licensee shall schedule the time at which the gangplank or its equivalent shall be raised and further boarding shall not be permitted.

 

c)         For the purpose of orderly egress of passengers from a Riverboat at the end of a cruise, the holder of the Owner's license shall schedule the time at which the gangplank or its equivalent is lowered.

 

d)         The route any Riverboat takes during a cruise must be approved by the Board.

 

(Source:  Amended at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.510   Cancelled or Disrupted Cruises

 

a)         In the event of a scheduled cruise where a Riverboat captain reasonably determines that either of the following circumstances exist, he shall either not leave the dock or immediately return thereto:

 

1)         The captain deems it unsafe to transport passengers on the waterway due to inclement weather; or

 

2)         The Riverboat has been rendered temporarily inoperable by river icing or unforeseeable mechanical or structural difficulties.  In the case of unforeseeable mechanical or structural difficulties, the holder of an Owner's license shall make all reasonable effort to remedy the problem promptly.

 

b)         If a Riverboat captain deems it necessary to take any action specified in this Section, the holder of an Owner's license shall promptly file with the Administrator a report detailing the basis for such action.

 

(Source:  Amended at 23 Ill. Reg. 1037, effective January 1, 2000)

 

Section 3000.520  Organization Gaming Facilities

 

a)         Organization gaming facilities shall be restricted to patrons over 21 years of age.

 

b)         The organization gaming facility portion of an organization gaming licensee's racetrack facilities shall be maintained physically separate and apart from inter-track wagering and all other activities conducted at the racetrack.  The separation may be by physical barrier if located within the same structure.

 

c)         Direct access to organization gaming facilities without requiring entry to their associated licensee racetrack is permitted.

 

d)         All entries and exits shall be recorded at turnstiles allowing access to organization gaming facilities regardless of whether a patron is entering from the racetrack facility or from outside.

 

e)         If the organization gaming facility is housed in the same structure as racetrack facilities, patrons must have direct access between both facilities.

 

(Source:  Added at 44 Ill. Reg. 13653, effective August 6, 2020)

 

Section 3000.530  Modification of Organization Gaming Facilities

 

a)         Construction Approval Procedures.  Requests to modify organization gaming facilities shall be submitted to the Administrator before an organization gaming licensee constructs any form of building, or makes alterations to an existing building or structure of its organization gaming facility.  Those requests shall include:

 

1)         A description of where the gaming facility or facilities will be located on the property used.

 

2)         Clear and legible diagrams of the interior of the facility or facilities.  The diagrams must be representative and proportional, and must include specific reference to the size of the gaming floor or areas through the use of detailed measurements.

 

3)         Plans for the surveillance and security systems for the facility or facilities.

 

4)         Certification that the modifications are in compliance with all applicable local building codes and ordinances.

 

b)         The organization gaming licensee shall provide any additional information or documentation requested by the Administrator.

 

c)         The Administrator may deny approval for construction, modification, or alteration if he or she determines that the construction, modification, or alteration alters the grounds of the organization gaming licensee so that the act of live racing is an ancillary activity to gaming under the Act.  Factors to be considered include, but are not limited to:

 

1)         Prominence or maintenance of racetrack character relative to the organization gaming facility and gaming operation, including but not limited to the planned and actual locations of all proposed and existing buildings on the subject property to be used to facilitate gaming;

 

2)         Proposed placement of gaming operations and use of gaming equipment within existing or new structures;

 

3)         The placement of the racetrack grandstand, pari-mutuel betting windows, and other related facilities;

 

4)         Organization gaming facility capacity and gaming positions;

 

5)         The frequency of live racing.

 

d)         If the Administrator denies a request for modification or construction, the organization gaming licensee may request the Board review the Administrator's determination.  The request must be submitted no later than 14 days after service of the Administrator's Notice of Denial.

 

e)         The organization gaming licensee must satisfy the Board by clear and convincing evidence that any construction, modification, or alteration does not cause the act of live racing to be ancillary to gaming under the Act.

 

1)         When reviewing an Administrator's Notice of Denial, the Board will consider any information that was previously provided to the Administrator.

 

2)         The Board may consider any additional information it deems relevant.

 

3)         The Board may request any additional information from the organization gaming licensee the Board deems necessary.

 

4)         The Board will make its determination based upon the factors in subsection (c).

 

f)         The Board shall provide written notice to the organization gaming licensee of its approval or denial of the request.

 

(Source:  Added at 44 Ill. Reg. 13653, effective August 6, 2020)

 

Section 3000.540  Temporary Facilities

 

An owners licensee or organization gaming licensee may conduct gaming at a temporary facility pending the construction of a permanent facility or the remodeling or relocation of an existing facility to accommodate gaming participants. Gaming at a temporary facility is authorized for up to 24 months after the temporary facility begins to conduct gaming. [230 ILCS 10/7(1)]

 

a)         An owners licensee or organization gaming licensee may request to operate a temporary gaming facility.  The request shall include:

 

1)         A description of where the gaming facility or facilities will be located on the property used.

 

2)         Clear and legible diagrams of the interior of the facility or facilities.  The diagrams must be representative and proportional, and must include specific reference to the size of the gaming floor or areas through the use of detailed measurements.  Diagrams must be submitted with an initial application that clearly depicts each entrance and exit.

 

3)         Plans for the surveillance and security systems for the facility or facilities.

 

4)         Such other or additional information and details as may be required or deemed necessary by the Board.

 

b)         In determining whether to authorize gaming at a temporary gaming facility, the Board shall consider factors including, but not limited to, the following:

 

1)         Impact on the security and integrity of gaming;

 

2)         Impact on the health and safety of patrons or employees;

 

3)         Physical appearance and character of the facility; and

 

4)         Logistics of the gaming operation.

 

c)         Temporary Gaming Facility Conditions

 

1)         A temporary gaming facility shall operate for a maximum of 24 months, unless extended by the Board;

 

2)         A temporary gaming facility shall not operate concurrently with a permanent facility.

 

3)         Board approval for a temporary gaming facility may be rescinded without prior notice for any just cause, including but not limited to:

 

A)        Failure by the licensee to operate in a manner consistent with the information submitted to the Board;

 

B)        A determination by the Board that continued operation of the temporary gaming facility is or may be a risk to the integrity or security of gaming; or

 

C)        A determination by the Board that continued operation of the temporary gaming facility is or may be injurious to the health, safety, morals, good order, or general welfare of the people of the State of Illinois.

 

d)         Upon request by the owners licensee or organization gaming licensee, and upon a showing of good cause by the licensee, the Board shall extend the period during which the licensee may conduct gaming at a temporary facility by up to 12 months. For purposes of this subsection, "good cause" means any delay in the completion of the construction, remodeling or relocation of a permanent facility when the owners licensee has made good faith efforts to complete the construction, remodeling, or relocation of a permanent facility in a timely manner.  Good cause may include, but is not limited to, construction delays, public health concerns, environmental concerns, or economic factors.

 

(Source:  Added at 44 Ill. Reg. 13653, effective August 6, 2020)

 

Section 3000.550  Relocating Gaming Facilities

 

Any gaming operation may only be relocated after the following:

 

a)         The applicant or licensee must request in writing to relocate its gaming facility.  The request shall include:

 

1)         An address and description of where the proposed gaming facility or facilities will be relocated.

 

2)         Clear and legible diagrams of the interiors of the facility or facilities.  The diagrams must be representative and proportional, and include specific reference to the size of the gaming floor or areas through the use of detailed measurements.  Diagrams must clearly depict each entrance and exit.

 

3)         Plans for the surveillance and security systems for the facility or facilities.

 

4)         Such other or additional information and details as may be required or deemed necessary by the Board.

 

b)         The Administrator may grant leave to relocate gaming facilities.  If the Administrator declines to grant leave to relocate, the gaming facility may only be relocated by leave of the Board.  In determining whether to grant leave to relocate, the following factors, at a minimum, must be considered:

 

1)         Impact on the security and integrity of gaming;

 

2)         The locations enumerated in the Illinois Gambling Act;

 

3)         Impact on the health and safety of patrons or employees;

 

4)         Physical appearance and character of the facility;

 

5)         Logistics of the gaming operation; and

 

6)         Any other factor deemed by the Administrator or Board to be relevant to the goals of the Act.

 

c)         No gaming may commence at the relocated gaming facility until the Administrator has assessed the gaming operation and authorized a final practice session.  The gaming operation assessment shall be the same as Section 3000.230(e).

 

d)         Once the gaming operation assessment reveals that the proposed gaming facility meets the Board’s standards for gaming operations in the State, the Administrator may authorize a final practice session. The Administrator shall apply the same criteria under Section 3000.230 in determining whether to authorize a final practice session.

 

1)         If the final practice session is successful, the Administrator shall permit the gaming facility to be relocated.  A successful final practice session is one that ensures the effective and safe gaming while maintaining the integrity of the gaming operation after considering the items enumerated in subsection (c).

 

2)         A gaming operation may continue gaming at the location from which it seeks to relocate until the Administrator determines that the final practice session is successful.

 

(Source:  Added at 46 Ill. Reg. 5542, effective March 16, 2022)

 

Section 3000.560  Patron Admissions to Gaming Facilities

 

a)         Each owners licensee has an affirmative duty to prevent individuals who are ineligible to place wagers under the Act from accessing the gaming floor.

 

b)         At each turnstile, owners licensees must install operational magnetometers or other electronic means capable of detecting firearms or other weapons not permitted on the gaming floor.

 

c)         Each patron entering the gaming floor must pass through the magnetometer or device to ensure that the patron is not in possession of any weapon not permitted on the gaming floor.

 

d)         Each owners licensee shall establish internal controls for the operation of magnetometers or other devices, including procedures governing instances of inoperable magnetometers or necessary patron accommodations.

 

(Source:  Added at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.600  Wagering Only with Electronic Credits, Approved Chips, Tokens and Electronic Cards

 

a)         Except as provided in subsection (b), Riverboat Gaming Wagers may be made only with Electronic Credits, Tokens, Chips or promotional coupons issued by the holder of an Owner's license and approved by the Administrator.  All Chips, Tokens and Electronic Cards must be approved by the Administrator and purchased from the holder of an Owner's license. Chips, Tokens or Electronic Cards may only be used as set forth in the owner licensee's Internal Control System.  Promotional coupons may only be used as wagers as set forth in the Owner's licensee's Internal Control System. At the patron's option, Electronic Credits may either be used as a Wager on an Electronic Gaming Device or be withdrawn only in the form of Tokens and/or a Voucher issued from the Electronic Gaming Device.

 

b)         Riverboat Gaming Wagers may be made with Electronic Credits downloaded from an owner licensee's computer management system or acquired through the insertion of a Voucher issued by an Electronic Gaming Device authorized for wagering at a holder of an Owner's license or at the cashier cage, or acquired through insertion of a coupon redeemable for complimentary electronic credits, as set forth in the Owner licensee's Internal Control System.

 

1)         Prior to the Redemption Period, Vouchers may, at the patron's option, be:

 

A)        used to obtain electronic credits to place a wager in Electronic Gaming Devices registered with the Board;

 

B)        withdrawn only in the form of Tokens or Vouchers from the Electronic Gaming Device; or

 

C)        redeemed only for United States currency at a Voucher Validation Terminal or at the cage of a holder of an Owner's license.

 

2)         At any time prior to the Expiration Date, Vouchers may be redeemed for United States currency at the cage of a holder of an Owner's license.

 

(Source:  Amended at 38 Ill. Reg. 21471, effective October 29, 2014)

 

Section 3000.602  Disposition of Unauthorized Winnings

 

Any jackpot or other winnings claimed by patrons of a Riverboat Gaming Operation as a result of unauthorized or prohibited Gaming shall not be paid to such patrons.  Such jackpot or winnings shall be paid immediately by the owner licensee to the Board and deposited into the Education Assistance Fund.  The Board shall treat such payments as winnings for the purposes of wagering tax liability calculations.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.605  Authorized Games

 

No holder of an Owner's License shall permit any Game to be played other than those approved by the Board.  The Administrator shall maintain a list of Board-approved Games and the definitions of those Games. For each Game for which approval of the Board is sought, the holder of an Owner's License shall provide a definition of the Game as well as a set of Game rules to the Administrator 120 days in advance of the Game's proposed operation or within such time period as the Administrator may designate.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.606  Gaming Positions

 

a)         Each holder of an owners license or organization gaming license shall limit the number of gaming positions concurrently available for play to the maximum permitted by its license under the Act.

 

b)         Gaming positions shall be counted as follows:

 

1)         Positions for Games utilizing Electronic Gaming Devices shall be determined as 90 percent of the total number of gaming stations available for play.

 

2)         Positions for Games available for play that do not utilize an Electronic Gaming Device shall be determined by the Administrator.  The Administrator shall make this determination at the time the internal controls for the Game are approved, using the following standards.

 

A)        Any Game with internal controls approved before September 1, 2019 shall count as 5 positions, except craps, which shall count as 10 positions.

 

B)        In determining the number of gaming positions for a Game, the Administrator shall consider the following:

 

i)          The number of positions assigned to the same Game in the approved controls of any owners licensee or organization gaming licensee;

 

ii)         The nature and scope of differences between the internal controls of the Game and those other instances of the same or similar games operated by any owners licensee or organization gaming licensee; and

 

iii)        The possible maximum number of concurrent players.

 

c)         The total gaming positions shall not include:

 

1)         Any gaming station that is disabled or otherwise not operational for play by a patron.

 

2)         Any live gaming device that is not currently operational and available to play.

 

3)         Any promotional give-away or tournament for which there is no entry fee required for any participant.

 

4)         Sports wagering conducted pursuant to the Sports Wagering Act [230 ILCS 45].

 

5)         Pari-mutuel wagering conducted pursuant to the Illinois Horse Racing Act of 1975 [230 ILCS 5].

 

d)         Licensees may reallocate gaming positions at any time with prior written notice to the Board.

 

e)         Owners licensees and organization gaming licensees shall adopt internal controls regarding the allocation of gaming positions and logging of any reallocation.

 

f)         Owners licensees and organization gaming licensees shall, immediately upon request, provide to Board agents an accounting of the current allocation of gaming positions.

 

g)         Logs of gaming position allocation must be retained for at least as long as prescribed by the published Records Retention Schedule (see Section 3000.115), or longer upon written notice by the Administrator or designee.

 

(Source:  Amended at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.610  Publication of Rules and Payout Ratio for Live Gaming Devices

 

A holder of an Owner's License shall provide in printed form to all patrons who request one, the rules and accurate payout ratio for each live Game in the area in which the Game is played.  A holder of an Owner's License shall make payment in strict accordance with such published payout ratios.

 

(Source:  Amended at 16 Ill. Reg. 13310, effective August 17, 1992)

 

Section 3000.614  Tournaments, Enhanced Payouts and Give-aways

 

a)         For purposes of this Section, the following terms shall have the following meanings:

 

1)         Enhanced Payout:  An event sponsored by a Riverboat Gaming Operation wherein Gaming patrons participate in a Game or an approved variation of a Game and thereby qualify for receiving, upon a specified outcome in such Game, a payment or thing of value in excess of payouts contained in the Internal Control System or as displayed on the Gaming Device.  The cost of such excess payment or thing of value may be subtracted from Gross Receipts in determining Adjusted Gross Receipts.

 

2)         Tournament:  A contest sponsored by a Riverboat Gaming Operation wherein patrons play or wager on a Game or Games and receive, separate from any applicable winnings from wagers, prizes that include the total of any entry fees to the contest and cash or non-cash prizes offered by the Riverboat Gaming Operation in conjunction with the contest.  The cost of cash or non-cash prizes and entry fees for a Tournament may not be subtracted from Gross Receipts in determining Adjusted Gross Receipts.

 

3)         Give-away:  A Game where patron entry to the Game is determined by attendance on a riverboat or the attainment of a certain outcome or an accumulation of points/credits on a Gaming Device.  The cost of prizes paid in a Give-away may not be subtracted from Gross Receipts in Determining Adjusted Gross Receipts.

 

b)         Tournaments, Enhanced Payouts or Give-aways may only be conducted when:

 

1)         Documented in the Internal Control System of the holder of an Owner's License;

 

2)         In conformance with the Act, this Part and the Internal Control System; and

 

3)         Approved by the Administrator.

 

c)         The Internal Control System provisions for the conduct of Tournaments, Enhanced Payouts or Give-aways involving Gaming shall be submitted by the holder of an Owner's License pursuant to Sections 3000.300 through 3000.320.

 

d)         Requests for the conduct of specific Tournaments, Enhanced Payouts and Give-aways involving Gaming must be received in writing by the Administrator at least 14 days prior to the proposed date of implementation.

 

e)         Any Tournament, Enhanced Payout or Give-away for which eligibility or amount of any award or prize is determined by an information system shall be reasonably tested in advance to ensure the integrity of the Tournament, Enhanced Payout or Give-away.

 

(Source:  Amended at 37 Ill. Reg. 12050, effective July 9, 2013)

 

Section 3000.615  Payout Percentage for Electronic Gaming Devices

 

A holder of any Owner's License shall display the minimum Theoretical Aggregate Payout Percentage of all of the Electronic Gaming Devices in operation.

 

Section 3000.616  Cashing-In

 

A holder of an Owner's License shall comply with all federal and State regulations for the withholding of taxes from winnings and/or the filing of Currency Transaction Reports.  The patron shall produce an identification card confirming information required by these forms, prior to the disbursement of winnings.

 

(Source:  Amended at 20 Ill. Reg. 5814, effective April 9, 1996)

 

Section 3000.620  Submission of Chips for Review and Approval

 

Each holder of an Owner's license shall submit to the Administrator for approval a sample of each denomination of Value and Non-Value Chip in its primary and secondary sets and shall not utilize such Chips for Gaming purposes until approved by the Administrator.

 

a)         In requesting approval of such Chips, a holder of an Owner's license, prior to having any such Chips manufactured, shall first submit to the Administrator a detailed schematic of its proposed Chips, or a sample Chip, which shall show the front, back and edge of each denomination of Value Chip and each Non-Value Chip and the design and wording to be contained thereon, all of which shall be depicted on such schematic or Chip as they will appear, both as to size and location, on the actual Chip.  Once the design schematics or Chip are approved by the Administrator, no Value or Non-Value Chip shall be issued or utilized until and unless a sample of each denomination of Value Chip and each color of Non-Value Chip is also submitted to and approved by the Administrator.

 

b)         No holder of an Owner's license or other person licensed by the Board shall manufacture for, sell to, distribute to or use in any casino outside of Illinois, any Value or Non-Value Chips having the same edge design as those approved for use in Illinois.

 

(Source:  Amended at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.625  Chip Specifications

 

a)         Value Chips

 

1)         Each Chip issued by a holder of an Owner's License shall be round in shape, have clearly and permanently impressed, engraved or imprinted thereon the name and location of the issuing Riverboat Gaming Operation and the specific value of the Chip, except that a holder of an Owner's License may issue Gaming Chips without a value impressed, engraved or imprinted thereon for Roulette.  Chips with a value contained thereon shall be known as "Value Chips" and Chips without a value contained thereon shall be known as "Non-Value Chips."

 

2)         Value Chips may be issued by the holder of the Owner's License in denominations of $.25, $.50, $1.00, $2.50, $5.00, $20.00, $25.00, $100.00, $500.00, $1,000.00 and $5,000.00.  The holder of the Owner's License shall have the discretion to determine the denominations to be utilized on its Riverboat and the amount of each denomination necessary for the conduct of Gaming operations.

 

3)         Each denomination of Value Chip shall have a different primary color from every other denomination of Value Chip.  Value Chips shall fall within the colors set forth below when such Chips are viewed both in daylight and under incandescent light.  In conjunction with such primary colors, each holder of an Owner's License shall utilize contrasting secondary colors for the edge spots on each denomination of Value Chip.  Unless otherwise approved by the Administrator, no holder of an Owner's License shall use a secondary color on a specific denomination of Chip identical to the secondary color used by another holder of an Owner's License on that same denomination of the Value Chip.  The primary color to be utilized by each holder of an Owner's License for each denomination of Value Chip shall be:

 

A)        $0.25 − "Blue";

 

B)        $0.50 – "Mustard Yellow";

 

C)        $1.00 – "White";

 

D)        $2.50 – "Pink";

 

E)        $5.00 – "Red";

 

F)         $20.00 – "Yellow";

 

G)        $25.00 – "Green";

 

H)        $100.00 – "Black";

 

I)         $500.00 – "Purple";

 

J)         $1,000.00 – "Fire Orange"; and

 

K)        $5,000.00 – "Gray".

 

4)         Each denomination of Value Chip utilized by a holder of an Owner's License shall, unless otherwise authorized by the Administrator:

 

A)        Have its center portion, which contains the value of the Chip and the Riverboat Gaming Operation issuing it, of a different shape for each denomination;

 

B)        Be designed so as to be able to determine on closed circuit black and white television the specific denomination of such Chip when placed in a stack of Chips of other denominations; and

 

C)        Be designed, manufactured and constructed so as to prevent, to the greatest extent possible, the counterfeiting of such Chips.

 

5)         The Administrator may approve a Value Chip at variance with the requirements of this Section provided that any variation is specifically identified as such by the holder of the Owner's License and provided further that said variation does not affect the control, security or integrity of said Chips or the operation of the Games.

 

b)         Non-Value Chips

 

1)         Each Non-Value Chip utilized by a Riverboat shall be issued solely for the purpose of Gaming at roulette.  The Non-Value Chips at each roulette table shall:

 

A)        Have the name of the Riverboat Gaming Operation issuing it molded into its center;

 

B)        Contain a design, insert or symbol differentiating it from the Non-Value Chips being used at every other roulette table in the Riverboat;

 

C)        Have "roulette" impressed on it; and

 

D)        Be designed, manufactured and constructed so as to prevent, to the greatest extent possible, the counterfeiting of such Chips.

 

2)         Non-Value Chips issued at a roulette table shall only be used for Gaming at that table and shall not be used for Gaming at any other table in the Riverboat nor shall any holder of an Owner's License or its employees allow any Riverboat patron to remove Non-Value Chips permanently from the table from which they were issued.

 

3)         No person at a roulette table shall be issued or permitted to Game with Non-Value Chips that are identical in color and design to Value Chips or to Non-Value Chips being used by another person at the same table.  When a patron purchases Non-Value Chips, a Non-Value Chip of the same color shall be placed in a slot or receptacle attached to the outer rim of the roulette wheel.  At that time, a marker button denoting the value of a stack of 20 Chips of that color shall be placed in the slot or receptacle.

 

4)         Non-Value Chips shall only be presented for redemption at the table from which they were issued and shall not be redeemed or exchanged at any other location in the Riverboat Gaming Operation.  When so presented, the dealer at such table shall exchange them for an equivalent amount of Value Chips which may then be used by the patron in Gaming or redeemed as any other Value Chips.

 

5)         Each holder of an Owner's License shall have the discretion to permit, limit or prohibit the use of Value Chips in Gaming at roulette provided, however, that it shall be the responsibility of the holder of an Owner's License to keep accurate account of the Wagers being made at roulette with Value Chips so that the Wagers made by the one player are not confused with those made by another player at the table.

 

(Source:  Amended at 49 Ill. Reg. 747, effective December 31, 2024)

 

Section 3000.630  Primary, Secondary and Reserve Sets of Gaming Chips

 

Unless otherwise authorized by the Administrator, each Riverboat shall have a primary set of Value Chips, a separate secondary set of Value Chips and a Non-Value Chip reserve which shall conform to the color and design specification set forth in Section 3000.625.  An approved secondary set of Value Chips and reserve Non-Value Chips shall be placed into active play whenever the primary set is removed.

 

a)         The secondary set of Value Chips shall have different secondary colors than the primary set, and shall be required for all denominations.

 

b)         Each holder of an Owner's License shall have a Non-Value Chip reserve for each color utilized in the Riverboat with a design insert or symbol different from those Non-Value Chips comprising the primary set.

 

c)         The holder of an Owner's License shall remove the primary set of Gaming Chips from active play whenever:

 

1)         A determination is made by the holder of an Owner's License and the Board agent that the Riverboat Gaming Operation is taking on a significant number of counterfeit Chips;

 

2)         Any other impropriety or defect in the utilization of the primary set of Chips makes removal of the primary set necessary; or

 

3)         The Board or the Administrator so directs.

 

d)         Whenever the primary set of Chips is removed from active play the holder of the Owner's License shall immediately notify a representative of the Board as to the reason for such occurrence.

 

Section 3000.631  Tournament Chips

 

The Administrator may authorize a Riverboat Gaming Operation to possess a set of Chips, separate from required Value and Non-Value Chips, for use in a Tournament as authorized in Section 3000.614.

 

a)         The Internal Control System of the Riverboat Gaming Operation shall prescribe the procedures for the receipt, storage, use, accounting and destruction of a set of Chips solely for use in a Tournament.

 

b)         Chips approved under this Section 3000.631 shall be of a design and of such color, quality and denomination as the Administrator determines to be consistent with accounting, surveillance and security requirements of the Board, in consideration of the limited use intended for such Chips.

 

c)         A set of Chips approved by the Administrator for use in a Tournament may only be used in a Tournament and may not, in any instance, be redeemed as Value Chips or used in any Game, other than in an approved Tournament.

 

d)         Nothing in this Section shall preclude the use of Value Chips in a Tournament, except that Value Chips and a set of Chips approved under this Section solely for use in a Tournament may not be utilized in the same Tournament.

 

(Source:  Added at 23 Ill. Reg. 8996, effective August 2, 1999)

 

Section 3000.635  Issuance and Use of Tokens and Vouchers for Gaming

 

a)         No holder of an Owner's license shall issue or cause to be utilized in a Riverboat Gaming Operation any Tokens for Gaming unless those Tokens are approved by the Administrator.  In requesting approval of Tokens, the holder of an Owner's license shall first submit to the Administrator a detailed schematic of its proposed Token that shows its front, back and edge, its diameter and thickness, and any logo, design or wording to be contained on the Token, all of which shall be depicted on the schematic as they will appear, both as to size and location, on the actual Token.  Once the design schematics are approved by the Administrator, no Token shall be issued or utilized until a sample of the Token is also submitted and approved by the Administrator.

 

b)         A holder of an Owner's license may, with the approval of the Administrator, issue metal Tokens designed for Gaming.  Those Tokens shall:

 

1)         Clearly identify the name and location of the Riverboat Gaming Operation issuing them;

 

2)         Clearly state the face value of the Token;

 

3)         Contain the statement "Not Legal Tender";

 

4)         Not be deceptively similar to any current or past coin of the United States or a foreign country;

 

5)         Be of a size or shape or have other characteristics that will physically prevent their use to activate lawful vending machines or other machines designed to be operated by coins of the United States; and

 

6)         Not be manufactured from a ferromagnetic material or from a three-layered material consisting of a copper-nickel alloy clad on both sides of a pure copper core or from a copper based alloy except if the total zinc, nickel, aluminum, magnesium and other alloying metal exceeds 25 percent of the Token's weight.

 

c)         Tokens approved for issuance by a holder of an Owner's license shall be:

 

1)         Issued to a patron upon payment, or in accordance with a complimentary distribution program authorized pursuant to the Act;

 

2)         Capable of insertion into designated Electronic Gaming Devices operated by the holder of an Owner's license for the purpose of activating play;

 

3)         Available as a payout from the hopper of Electronic Gaming Devices equipped with a Token hopper; and

 

4)         Redeemable by the patron in accordance with the Act.

 

d)         A holder of an Owner's license may, with the prior approval of the Administrator, issue Vouchers through approved Voucher Printers in Electronic Gaming Devices or at the cashier cage.  The Vouchers shall:

 

1)         Clearly identify the name and location of the Riverboat Gaming Operation issuing them;

 

2)         Clearly identify the specific Electronic Gaming Device or cashier cage location issuing them;

 

3)         Contain a unique validation number or code that shall be automatically generated by or caused to be generated by the Voucher System and not be alterable by any mechanical, electronic, digital or other means prior to issuance;

 

4)         Clearly state the face value of the Voucher in both words and numbers;

 

5)         Contain a date and time of issuance;

 

6)         Clearly state a 120 day Redemption Period during which the Voucher may be redeemed at an Electronic Gaming Device, Voucher Validation Terminal or cashier cage of a holder of an Owner's license;

 

7)         Be available as a payout from Voucher equipped Electronic Gaming Devices connected to the Voucher System, provided that both the Electronic Gaming Device and the Voucher System are functioning;

 

8)         Be individually printed for face values of not less than $0.01 and not more than $3,000;

 

9)         Contain a bar code that shall enable the Voucher System to access and validate the alpha or numeric information contained in subsections (d)(1) through (6) and display the information when the Voucher is redeemed, provided that only numeric information must be displayed on the System;

 

10)         Clearly state that the Voucher may be redeemed for cash at the cashier cage of the holder of an Owner's license for one year from the date of issuance;

 

11)         Clearly state the following:  "Vouchers issued by another Riverboat may not be used, exchanged or redeemed at this Riverboat.";

 

12)         List the unique validation number on the leading edge of each Voucher issued from a Voucher Printer;

 

13)         Not be deceptively similar to the currency of the United States or a foreign country;

 

14)         Contain at least one anti-counterfeiting measure, such as a unique bar code, that shall appear on one or both sides of the Voucher; and

 

15)         Be promptly redeemable by the patron in accordance with this Part.

 

e)         Vouchers must be capable of insertion into Voucher equipped Electronic Gaming Devices connected to the Voucher System for the purpose of obtaining Electronic Credits.

 

(Source:  Amended at 38 Ill. Reg. 21471, effective October 29, 2014)

 

Section 3000.636  Distribution of Coupons for Complimentary Chips, Tokens, Vouchers, Cash and Electronic Credits

 

a)         The holder of an Owner's license may, for specified marketing purposes, provide patrons of its Riverboat Gaming Operation coupons redeemable for complimentary Chips, Tokens, cash or electronic credits with the approval of the Administrator and subject to the following requirements:

 

1)         The processes and procedures for the control, accountability and distribution of coupons for Chips, Tokens, cash or electronic credits and for the redemption of such coupons are provided for in the holder of an Owner's license's Internal Control System and in conformance with the Internal Control System;

 

2)         The aggregate dollar value of Chips, Tokens, cash or electronic credits authorized for complimentary purposes is not excessive in light of the specific marketing objectives of the licensee; and

 

3)         Periodic internal audits validate the integrity and accountability of the processes and procedures authorized and required under this Section.

 

b)         Any provider of goods or services involved in approved coupon distribution processes and procedures under this Section may be required under this Part and the Act to be licensed as a Supplier.

 

c)         The holder of an Owner's license may not use Vouchers as a complimentary item or in any marketing promotion nor issue or cause to be issued Vouchers, except as authorized pursuant to Section 3000.635(d).

 

(Source:  Amended at 32 Ill. Reg. 17759, effective October 28, 2008)

 

Section 3000.640  Exchange of Chips, Tokens, and Vouchers

 

a)         Chips shall be issued to a person only at the request of such person and shall not be given as change in any other transaction.  Chips shall only be issued to Riverboat patrons at cashier cages or at the Live Gaming Devices and shall be redeemed only at a cashier cage.

 

b)         Tokens shall only be issued upon the request of a patron from a cashier cage, Token Dispenser or from employees of the holder of an Owner's license at the Electronic Gaming Device area.  Tokens shall be redeemed only at a cashier cage.

 

c)         Vouchers shall only be issued by approved Voucher Printers in Electronic Gaming Devices or at a cashier cage.

 

1)         Prior to their Redemption Dates, Vouchers may be redeemed for:

 

A)        Electronic Credit at Electronic Gaming Devices, which Credit may then be redeemed as a new Voucher or in Tokens, for EGDs equipped for Tokens; and

 

B)        United States currency at Voucher Validation Terminals and a cashier cage at the holder of an Owner's license.

 

2)         After their Redemption Dates and prior to their Expiration Dates, Vouchers may be redeemed for United States currency only at a cashier cage of the holder of an Owner's license.

 

d)         Chips, Tokens or Vouchers shall only be redeemed by a holder of an Owner's license from its patrons and shall not be knowingly redeemed from any non-patron source, except where:

 

1)         employees of the holder present for redemption Chips or Tokens as provided in the approved Internal Control System of the holder;

 

2)         another holder of an Owner's License presents for redemption Tokens which have been lawfully received by that holder;

 

3)         subject to approval by the Administrator, a person licensed to conduct Gaming in another jurisdiction presents for redemption Tokens which have been lawfully received by that person; or

 

4)         the prior written approval for the redemption of the Chips or Tokens is obtained in each instance from the Administrator.

 

e)         Each Riverboat shall promptly redeem its own Chips, Tokens and Vouchers by cash or by check dated the day of such redemption on an account of the Riverboat, as requested by the patron, except when the Chips, Tokens and Vouchers were obtained or used unlawfully.

 

f)         Each Riverboat may demand the redemption of its Chips, Tokens or Vouchers from any person in possession of them and that person shall redeem the Chips, Tokens or Vouchers upon presentation by the Riverboat Gaming Operation of an equivalent amount of cash or check dated the same day on an account of the Riverboat.

 

g)         Each Riverboat shall cause to be posted and remain posted in a prominent place:

 

1)         On the front of a cashier cage a sign that reads as follows:  "Gaming Chips, Tokens or Vouchers issued by another Riverboat may not be used, exchanged or redeemed in this Riverboat";

 

2)         On Electronic Gaming Device Token redemption booths a sign that reads as follows:  "Tokens or Vouchers issued by another Riverboat may not be used, exchanged or redeemed in this Riverboat"; and

 

3)         On Voucher Validation Terminals a sign that reads as follows:  "Vouchers issued by another Riverboat may not be used, exchanged or redeemed in this Riverboat".

 

(Source:  Amended at 37 Ill. Reg. 18255, effective November 1, 2013)

 

Section 3000.645  Receipt of Gaming Chips or Tokens from Manufacturer or Distributor

 

a)         When Chips or Tokens are received from the manufacturer or distributor thereof, they shall be opened and checked by at least two (2) employees of the holder of an Owner's License from different departments.  Any deviation between the invoice accompanying the Chips or Tokens and the actual Chips or Tokens received or any defects found in such Chips or Tokens shall be reported promptly to the Administrator.  An agent of the Board will be notified of the time of delivery of any Chips or Tokens to the holder of an Owner's License.

 

b)         After checking the Chips received, the holder of the Owner's License shall cause to be reported in a Chip inventory ledger the denomination of the Chips received, the number of each denomination of Chip received, the number and description of all Non-Value Chips received, the date of such receipt and the signature of the individuals who checked such Chips.

 

c)         If any of the Chips received are to be held in reserve and not utilized either at the Gaming tables or at a cashier's cage, they shall be stored in a separate locked compartment either in the vault or in a cashier's cage and shall be recorded in the Chip inventory ledger as reserve Chips.

 

d)         Any Chips received that are part of the secondary set of Chips of the Riverboat shall be recorded in the Chip inventory ledger as such and shall be stored in a locked compartment in the Riverboat vault separate from the reserve Chips.

 

(Source:  Amended at 16 Ill. Reg. 13310, effective August 17, 1992)

 

Section 3000.650  Inventory of Chips

 

a)         Chips shall be taken from or returned to either the reserve Chip inventory or the secondary set of Chips in the presence of at least two (2) individuals. The denominations, number and amount of Chips so taken or returned shall be recorded in the Chip inventory ledger together with the date and signatures of the individuals carrying out this process.

 

b)         Each holder of an Owner's License shall, on a daily basis, compute and record the unredeemed liability for each denomination of Chips and cause to be made an inventory of Chips in circulation and cause the result of such inventory to be recorded in the Chip inventory ledger.  On a monthly basis, each holder of an Owner's License shall cause an inventory of Chips in reserve to be made and cause the result of such inventory to be recorded in the Chip inventory ledger.  The procedures to be utilized to compute the unredeemed liability and to inventory Chips in circulation and reserve shall be submitted to the Administrator for approval.  A physical inventory of Chips in reserve shall be required annually if the inventory procedures incorporate the sealing of the locked compartment.

 

c)         During non-Gaming hours all Chips in the possession of the Riverboat shall be stored in the Chip bank, in the vault, or in a locked compartment in a cashier's cage except that Chips may be locked in a transparent compartment on Gaming tables provided that there is adequate security as approved by the Administrator.

 

Section 3000.655  Destruction of Chips, Tokens, and Vouchers

 

a)         Prior to the destruction of Chips the holder of an Owner's license shall notify the Administrator, in writing, of the date and the location at which the destruction will be performed, the denomination, number and amount of Value Chips to be destroyed, the description and number of Non-Value Chips to be destroyed and a detailed explanation of the method of destruction.  Unless otherwise authorized by the Administrator the destruction of Chips shall be carried out in the presence of at least 2 individuals, one of whom shall be an agent of the Board.  The denomination, number and amount of Value Chips or, in the case of Non-Value Chips, the description and number so destroyed shall be recorded in the Chip inventory ledger together with the signatures of the individuals carrying out such destruction and the date on which said destruction took place.

 

b)         The holder of an Owner's license shall submit to the Administrator for approval procedures to record the receipt, inventory, storage and destruction of Gaming Tokens.

 

c)         The holder of an Owner's license shall submit to the Administrator for approval procedures to record the physical destruction of Vouchers.

 

(Source:  Amended at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.660  Minimum Standards for Electronic Gaming Devices

 

a)         Electronic Gaming Devices shall pay out a mathematically demonstrable percentage of all amounts Wagered, which must not be less than 80% nor more than 100% unless otherwise approved by the Administrator.  Electronic Gaming Devices that may be affected by player skill must meet this standard when using a method of play that will provide the greatest return to the player over a period of continuous play.

 

b)         Electronic Gaming Devices shall, at a minimum:

 

1)         Be controlled by a microprocessor or the equivalent;

 

2)         Be compatible to on-line data monitoring;

 

3)         Contain an EPROM or other non-alterable storage media that has been approved by the Administrator subsequent to a review of the EPROM or other non-alterable storage media by an independent laboratory designated by the Administrator;

 

4)         Have a separate locked internal enclosure within the device for the circuit board containing the EPROM and for all other non-alterable storage media program storage that has an effect on the game's integrity; if using other non-alterable storage media, provide a security device or protocol approved by the Administrator to guarantee program inaccessibility by other than by an approved method and personnel and only in the presence of a Gaming Board agent;

 

5)         Be able to continue a Game with no data loss after a power failure;

 

6)         Have previous and current Game data recall;

 

7)         Have a random selection process that must not produce detectable patterns of Game elements or detectable dependency upon any previous Game outcome, the amount Wagered, or upon the style or method of play;

 

8)         Clearly display applicable rules of play and the payout schedule;

 

9)         Display an accurate representation of each Game outcome.  After selection of the Game outcome, the Electronic Gaming Device must not make a variable secondary decision which affects the result shown to the player;

 

10)         Have a complete set of nonvolatile meters including amounts wagered, amounts awarded, amounts redeemed, total Vouchers issued, total quantity of Vouchers issued and United States currency, Vouchers, and  Tokens dropped;

 

11)         Make available for random selection at the initiation of each play each possible permutation or combination of Game elements which produce winning or losing Game outcomes;

 

12)         Not automatically alter pay-tables or any function of the Electronic Gaming Device based on internal computation of the hold percentage; and

 

13)         If interfaced with a Voucher System, meet the minimum requirements for a Voucher System as set forth in this Part.

 

c)         When an Electronic Gaming Device is unable to drop sufficient Tokens or issue a Voucher in a sufficient amount for payment of jackpots requiring the payment to be made by the Riverboat, jackpot payout tickets must be prepared containing the following information:

 

1)         The location of the Electronic Gaming Device;

 

2)         The date;

 

3)         The time of day;

 

4)         The Electronic Gaming Device number;

 

5)         The amount of the jackpot payout in numeric form if the ticket is machine generated, or in written and numeric form if the ticket is prepared manually;

 

6)         The signature of the holder of an Owner's license or Riverboat Gaming Operation employee making the payment; and

 

7)         A signature of at least one other Riverboat Gaming Operation employee attesting to the accuracy of the form.

 

d)         Electronic Gaming Devices linked to any Progressive Jackpot system shall meet the following specifications:

 

1)         The value of a Progressive Jackpot shall be clearly displayed above the interlinked Electronic Gaming Devices, and metered incrementally by a Progressive Controller.  Any Electronic Gaming Device that offers a Progressive Jackpot, or that is linked to a Progressive Jackpot, must prominently display a manufacturer-supplied glass indicating either that a Progressive Jackpot is to be paid or indicating the current amount of the jackpot.  All Electronic Gaming Devices linked and contributing to a common Progressive Jackpot shall have the same probability of hitting the combination that will award the Progressive Jackpot;

 

2)         A Progressive Jackpot may be transferred to another progressive Electronic Gaming Device at the same location in the event of a device malfunction or replacement, with approval of the Administrator;

 

3)         A holder of an Owner's license may impose a limit on the Progressive Jackpot of Electronic Gaming Devices which are linked to any Progressive Controller;

 

4)         No Progressive Jackpot indicator shall be cancelled or turned back to a lesser amount unless one of the following circumstances occurs:

 

A)        The amount shown on the progressive meter is paid to a player as a jackpot;

 

B)        It becomes necessary to adjust the progressive meter to prevent the jackpot indicator from displaying an amount greater than the limit imposed by the Riverboat Gaming Operation pursuant to subsection (d)(3) of this Section; and

 

C)        It becomes necessary to change the jackpot indicator because of an Electronic Gaming Device malfunction, in which case such malfunction and adjustment must be recorded by appropriate Electronic Gaming Device monitoring on-line data system;

 

5)         A holder of an Owner's license who is liable for payment of a Progressive Jackpot must secure the amount of same by a cash deposit, a performance bond, or a security instrument nationally recognized in the Gaming industry.  The Administrator must approve all deposits, bonds, or other instruments, and the security instrument must be secured in a method approved by the Administrator.

 

e)         The Administrator may approve, for use in a Tournament involving Electronic Gaming Devices, a Tournament EPROM or other non-alterable storage media subject to the following requirements:

 

1)         The Tournament EPROM or other non-alterable storage media has been tested and approved for use as may be required by the Administrator.

 

2)         The installation, use and secure storage of the Tournament EPROM or other non-alterable storage media is provided for in the Internal Control System of the Riverboat Gaming Operation.

 

3)         The Tournament EPROM or other non-alterable storage media is installed and removed from an Electronic Gaming Device only in the presence of a Board agent.

 

4)         An Electronic Gaming Device is rendered unavailable for wagering or play, except in the conduct of a Tournament, when a Tournament EPROM or other non-alterable storage media is installed in the Electronic Gaming Device and is set in tournament mode.

 

5)         As applicable, the Administrator has waived or modified the data reporting and monitoring requirements of Section 3000.670 so as to prevent inapplicable Tournament payout information from being used in the calculation of Adjusted Gross Receipts.

 

6)         Patrons engaging in a Tournament have been given proper information as to the effect that play with a Tournament EPROM or other non-alterable storage media has on the rules of play and the payout information that is posted on Electronic Gaming Devices used in the Tournament.

 

f)         The use of remote access is prohibited unless the Administrator has approved internal controls that specifically address remote access procedures.

 

(Source:  Amended at 34 Ill. Reg. 3748, effective March 11, 2010)

 

Section 3000.661  Minimum Standards for Voucher Systems

 

A Voucher System shall, at a minimum:

 

a)         Perform the following minimum functions to control access to the System:

 

1)         Generate daily monitoring logs of user access, security incidents and unusual transactions, and immediately notify or cause to immediately notify the Board and the MIS Department pursuant to the Owner licensee’s approved Internal Controls of critical security incidents and unusual transactions;

 

2)         Assign rights and privileges to each user, including:

 

A)        allowance for the secure administration of user accounts to provide an adequate separation of duties; and

 

B)        adequate password parameters, such as lockout, minimum length, and expiration interval;

 

3)         Use appropriate access protocols to restrict unauthorized users from viewing, changing or deleting critical files and directories;

 

4)         Utilize encryption or password protection or equivalent security for files and directories containing critical or sensitive data.  If encryption is not used, users shall be restricted from viewing the contents of such files and directories, which at a minimum shall provide for:

 

A)        the effective segregation of duties and responsibilities with regard to the system in the MIS Department; and

 

B)        the automatic monitoring and recording by the system of access by any person to such files and directories;

 

b)         Perform the following minimum functions to control system operations:

 

1)         Validate the identity of those devices from which a transmission is

 

received;

2)         Ensure that all data sent through a transmission is completely and accurately received; and

 

3)         Detect the presence of corrupt, or instances of lost, data and, as necessary, reject the transmission;

 

c)         Perform the following minimum functions to control the integrity of data:

 

1)         Generate or cause to be generated a validation number for each Voucher, either utilizing a unique algorithm, or by such other method approved by the Administrator and the certification laboratory, which method shall prevent the ability to predict the composition of any other validation number generated by the system;

 

2)         Validate the data type and format of all inputs to critical fields and reject any corrupt data;

 

3)         Provide for the automatic and independent recordation of critical data upon issuance of a Voucher and redemption; and

 

4)         Provide for verification of the information contained on a Voucher presented for redemption and for the record of  unredeemed Vouchers to a source that separately records and maintains transaction data, or such other compensating procedure as approved by the Administrator and the certification laboratory, which procedure shall independently verify the accuracy of the validation number and value prior to redeeming the Voucher;

 

d)         Perform the following minimum functions to address business continuity:

 

1)         Utilize data redundancy techniques that ensure system data preservation;

 

2)         Utilize environmental controls, such as uninterruptible power supplies, and fireproof and waterproof materials to protect critical data from natural disaster; and

 

3)         Immediately notify or cause to immediately notify the Board pursuant to the Owner licensee’s approved Internal Controls and MIS of any malfunction that threatens the integrity of the Voucher System;

 

e)         Insure that the Voucher System is not capable of issuing or validating a duplicate Voucher on demand;

 

f)         Insure that if the validation information cannot be sent to the Voucher System, an alternate method of payment is provided:

 

1)         By the Voucher System possessing unique features to identify duplicate

 

Vouchers and prevent fraud by redeeming an unexpired and/or unvalidated  Voucher that was previously issued by the EGD; or

2)         Pursuant to the Owner licensee’s approved Internal Controls;

 

g)         Insure that once the validation information is stored in the database, the data may not be altered in any way;

 

h)         Insure that any device that holds Voucher information in its memory shall not allow removal of the information unless it has first transferred that information to the database or other secured components of the Voucher System;

 

i)          Insure that only designated Vouchers can be issued and redeemed;

 

j)          Insure that each Voucher System is designed and is operated so as to prevent the use of counterfeit Vouchers, previously redeemed Vouchers, incomplete Vouchers if the validation information is missing, expired Vouchers, or Vouchers issued at other Riverboat Gaming Operations and by other holders of an Owner's license;

 

k)         Insure that remote access is prohibited unless the Administrator has approved internal controls that specifically address remote access procedures;

 

l)          Insure that all Voucher transactions are retained for the prior three years, either on-line or in a media approved by the Administrator and capable of being restored to the Voucher System upon request; and

 

m)        Insure that Electronic Credits from a Voucher that are not evenly divisible by the minimum wager amount of an Electronic Gaming Device, including the accumulation of fractional amounts from multiple vouchers, are issued to the patron in a Voucher for the full value of the fractional Electronic Credit.

 

(Source:  Amended at 32 Ill. Reg. 17946, effective November 5, 2008)

 

Section 3000.665  Integrity of Electronic Gaming Devices

 

Electronic Gaming Devices shall, at a minimum:

 

a)         With the exception of a Bill Validator that is part of the EGD, be cashless in operation, and as such, must accept only Electronic Credits or Tokens as Wagers;

 

b)         If equipped with a Bill Validator, accept the conversion of the value of cash, Tokens, Vouchers, coupons or Electronic Cards to Electronic Credits for use as Wagers;

 

c)         Be partially or entirely electronic in design and operation and not only mechanical in operation;

 

d)         Not subject a player to physical hazards;

 

e)         Contain a surge protector on the line that feeds power to the Electronic Gaming Device.  The battery backup or an equivalent for the electronic meters must be capable of maintaining accuracy of all information required for 180 days after power is discontinued from the Electronic Gaming Device.  The backup shall be kept within the locked logic board compartment;

 

f)         Have an on/off switch that controls the electrical current used in the operation of the Electronic Gaming Device and any associated equipment, including a Voucher Printer, which shall be located in an accessible place within its interior;

 

g)         Be designed so that it shall not be adversely affected by static discharge or other electromagnetic interference;

 

h)         If capable of accepting or providing Tokens, have at least one electronic Token acceptor.  Token acceptors must be designed to accept designated Tokens and reject others.  The Token receiver on an Electronic Gaming Device must be designed to prevent the use of cheating methods such as slugging, stringing, or spooning.  All Token acceptors are subject to approval by the Administrator.  Tokens accepted but which are inappropriate "token-ins" must be returned to the player by activation of the hopper or credited toward the next play of the Electronic Gaming Device.  The Electronic Gaming Device control program must be capable of handling rapidly fed Tokens so that occurrences of inappropriate "token-ins" are prevented;

 

i)          Have no more than one Voucher Printer;

 

j)          Not be readily accessible in its internal space of the Electronic Gaming Device when the front door is both closed and locked;

 

k)         Have logic boards and EPROMS or Non-Alterable Storage Media, in a locked area within the Electronic Gaming Device, sealed with evidence tape.  The evidence tape must be affixed by an authorized Board agent and must include the date, signature and I.D. number of the agent.  This tape may only be removed in the presence of an authorized Board agent.  If using Non-Alterable Storage Media, provide a security device or protocol approved by the Administrator to guarantee program inaccessibility except in the presence of a Gaming Board agent and by a method other than those approved by the Administrator;

 

l)          If capable of accepting or providing tokens, have a Token compartment contained in a locked area within or attached to the Electronic Gaming Device;

 

m)        Not contain any hardware switches that alter the pay-tables or payout percentages in its operation.  Hardware switches may be installed to control graphic routines, speed of play, and sound;

 

n)         Contain an unremovable identification plate containing the following information, appearing on the exterior of the Electronic Gaming Device and on the Voucher Printer located in the Electronic Gaming Device:

 

1)         Manufacturer;

 

2)         Serial Number; and

 

3)         Model Number;

 

o)         Contain the rules of play for each Electronic Gaming Device displayed on the face or screen.  No rules shall be incomplete, confusing, or misleading. Each Electronic Gaming Device must also display the credits wagered and the credits awarded for the occurrence of each possible winning combination based on the number of credits wagered.  All information required by this Section must be kept under glass or another transparent substance and at no time may stickers or other removable items be placed over this information;

 

p)         Have equipment that enables the Electronic Gaming Device to communicate with a Computer Monitoring System accessible to the Board, using an industry standard protocol data format approved by the Administrator;

 

q)         Be capable of continuing the current Game with all current Game features after a malfunction is cleared.  This rule does not apply if an Electronic Gaming Device is rendered totally inoperable.  The current Wager and all credits appearing on the screen prior to the malfunction shall be returned to the patron;

 

r)          Have attached a drop bucket housed in a locked compartment separate from any compartment of the Electronic Gaming Device;

 

s)         Be capable of detecting and displaying the following error conditions which an attendant may clear:

 

1)         Token-in jam;

 

2)         Token-out jam;

 

3)         Hopper empty or time-out;

 

4)         Program error;

 

5)         Hopper runaway or extra Token paid out;

 

6)         Reverse token-in;

 

7)         Reel error;

 

8)         Voucher Printer paper jam;

 

9)         Voucher Printer low ink, if applicable;

 

10)         Voucher Printer low on paper;

 

11)         Voucher Printer Paper out/depleted, or comparable message;

 

12)         Voucher Printer presentation error, or comparable message indicating that the Voucher Printer is unable to print completely and/or accurately;

 

13)         Voucher Printer print failure;

 

14)         Voucher Printer not connected/not communicating, or comparable message;

 

15)         Voucher System interruption, or comparable message; and

 

16)         Door open;

 

t)          Use a communication protocol that ensures that erroneous data or signals will not adversely affect the operation of the Electronic Gaming Device;

 

u)         Display an Illinois Gaming Board registration number permanently imprinted, affixed or impressed on the outside of the Electronic Gaming Devices;

 

v)         Have the capacity to display on the front of each Electronic Gaming Device its rules of play, character combinations requiring payouts, and the amount of the related payouts.  In addition, the holder of an owners license shall display on each Electronic Gaming Device either:

 

1)         A clear description of any merchandise or thing of value offered as a payout, including the cash equivalent value of the merchandise or thing of value offered, the dates the merchandise or thing of value will be offered if the holder of an Owner's License establishes a time limit upon initially offering the merchandise or thing of value and the availability or unavailability to the patron of the optional cash equivalent value; or

 

2)         The name or a brief description of the merchandise or thing of value offered; provided, however, a sign containing the information specified in subsection (v)(1) shall be displayed in a prominent location approved by the Board near the Electronic Gaming Device;

 

w)        Have a mechanical, electrical, or electronic device that automatically precludes a player from operating the Electronic Gaming Device after a jackpot requiring a manual payout and requires an attendant to reactivate the Electronic Gaming Device;

 

x)         Maintain or have an approved device that can maintain a separate bill history of at least the last 10 bills or Vouchers vended;

 

y)         In the event that an EGD has lost communication with the Voucher System, insure that, when a patron redeems electronic credits, the EGD must:

 

1)         revert to an active hopper device; or

 

2)         lockup and, after reset, result in a hand pay in accordance with procedures approved in the oner's licensee's internal controls; or

 

3)         issue no more than one voucher;

 

z)         Insure that jackpots that require completion of a W2-G shall cause the EGD to lockup, and after reset, result in a hand pay in accordance with procedures approved in the owners licensee's internal controls;

 

aa)         Insure that the EGD is not capable of printing a new Voucher or reprinting a duplicate Voucher on demand;

 

bb)         Insure that the identification and value of the last 35 Vouchers issued by each Voucher Printer and last 10 Vouchers redeemed at each EGD is recorded and available for display; and

 

cc)         Insure that the EGD not have any devices, components or other apparatus to accept wagers or issue payouts that are not specifically authorized.

 

(Source:  Amended at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.666  Bill Validator Requirements

 

a)         Bill Validators shall be limited to accepting:

 

1)         United States currency in denominations of not less than $1.00 and not more than $100;

 

2)         Vouchers with a value of no less than $0.01 and no more than $3,000 in United States currency; and

 

3)         Coupons redeemable for complimentary electronic credits.

 

b)         Bill Validators may only accept designated Vouchers.

 

c)         Each bill or Voucher accepted by the Bill Validator shall be registered at its face value as a bill or Voucher vended and this information must interface with the Riverboat Gaming Operation's centralized, on-line computer monitoring system and Voucher System.

 

d)         All currency and Vouchers accepted and stored within the Bill Validator shall be accessible only to designated Riverboat Gaming Operation personnel via an externally locked compartment door that does not allow for access to the Electronic Gaming Device door.

 

(Source:  Amended at 34 Ill. Reg. 5200, effective March 24, 2010)

 

Section 3000.667  Integrity of Voucher Systems

 

Voucher Systems, including Voucher Validation Terminals, shall:

 

a)         Be approved by the Administrator prior to their use at a Riverboat Gaming Operation;

 

b)         Be approved by the Administrator prior to any programming changes or upgrades to an approved Voucher System;

 

c)         Ensure against manipulation, alteration, or change of the approved Voucher System;

 

d)         Be operated in such a manner as to cause immediate notification to the Board of any malfunction that affects the integrity of the Voucher System;

 

e)         Provide for on-line real-time monitoring; and

 

f)         Be subject to testing by an independent laboratory and review by the Board as deemed necessary or appropriate to ensure the continued integrity of the Voucher System or any of its component parts.

 

(Source:  Added at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.670  Computer Monitoring Requirements of Electronic Gaming Devices

 

a)         The holder of an Owner's License must have a computer connected to all Electronic Gaming Devices in the Riverboat to record and monitor the activities of such devices.  No Electronic Gaming Device shall be operated unless it is on-line and communicating to a Computer Monitoring System approved by the Administrator.  Such Computer Monitoring System shall provide on-line, real-time monitoring and data acquisition capability in the format and media approved by the Administrator.

 

b)         The Computer Monitor System permitted by subsection (a) of this Section shall be designed and operated to automatically perform and report functions relating to Electronic Gaming Device meters, and other exceptional functions and reports in the Riverboat as follows:

 

1)         Record the number and total value of United States currency, Tokens or Vouchers placed in the Electronic Gaming Device for the purpose of activating play;

 

2)         Record the number and total value of Tokens deposited in the drop bucket of the Electronic Gaming Device;

 

3)         Record the number and total value of Tokens automatically paid by the Electronic Gaming Device as the result of a jackpot;

 

4)         Record the number and total value of Tokens to be paid manually as the result of a jackpot;

 

5)         Record the number and total value of Vouchers issued by the Electronic Gaming Device;

 

6)         Record the number and total value of Vouchers and currency received by the Electronic Gaming Device;

 

7)         Have an on-line computer alert, alarm monitoring capability to insure direct scrutiny of any device malfunction, any type of tampering, and any open door to the Electronic Gaming Device, drop area or Voucher Printer.  In addition, any person opening the Electronic Gaming Device or the drop area shall complete the machine entry authorization log including time, date, machine identity and reason for entry;

 

8)         Be capable of logging in and reporting any revenue transactions not directly monitored by Token meter, such as Tokens placed in the Electronic Gaming Device as a result of a fill, and any Tokens removed from the Electronic Gaming Device in the form of a credit; and

 

9)         Identify any Electronic Gaming Device taken off-line or placed on-line of the computer monitor system, including date, time, and Electronic Gaming Device identification number.

 

c)         The holder of an Owner's License shall store, in machine-readable format, all information required by subsection (b) for the period of five years. The holder of an Owner's License shall store all information in a secure area and certify that this information is complete and unaltered.  This information shall be available in the format and media approved by the Administrator.

 

d)         In addition to the requirements of subsection (c), the owner licensee shall store, in machine-readable format and by date, time and type of occurrence, all exceptions or events that result in an Electronic Gaming Device malfunction  or tilt for a period of 21 days.

 

e)         The secured office facilities for the sole accessibility of Board personnel provided in accordance with Section 3000.810 of these rules shall house a dedicated computer monitoring line which provides computer accessibility to Board personnel to review, monitor and record data identical to that specified in this Section.

 

f)         The use of remote access is prohibited unless the Administrator has approved internal controls that specifically address remote access procedures.

 

(Source:  Amended at 32 Ill. Reg. 17946, effective November 5, 2008)

 

Section 3000.671  Computer Monitoring Requirements of Voucher Systems

 

a)         A Voucher System shall provide on-line, real-time monitoring and data acquisition capability in the format and media approved by the Administrator.

 

b)         A Voucher System shall be designed and operated to automatically perform and report functions relating to the issuance, validation, redemption and accounting for Vouchers as follows:

 

1)         Record the validation numbers and value of Vouchers issued by each Electronic Gaming Device;

 

2)         Record the validation numbers and value of Vouchers redeemed in each Electronic Gaming Device for Electronic Credits;

 

3)         Record the validation numbers and value of Vouchers redeemed at

 

locations other than Electronic Gaming Devices;

4)         Record the identification and value of each Voucher that is not 

 

redeemed prior to its Expiration Date; and

5)         Calculate the Voucher Float.

 

c)         The holder of an Owner's license shall store, in machine-readable format, all information required by subsection (b) for a period of three years.  The holder of an Owner's license shall store all information in a secure area and certify that this information is complete, accurate and unaltered.  This information shall be available in the format and media approved by the Administrator.

 

(Source:  Added at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.680  Advertising and Marketing

 

a)         Each owners and organization gaming licensee shall be responsible for the advertising or marketing done on its behalf pursuant to an agreement, whether conducted by the licensee, an employee, an agent, an affiliated entity or a third party.

 

b)         For the purposes of this Section, advertising and marketing includes, but is not limited to:

 

1)         Direct mail or electronic mail;

 

2)         Telemarketing;

 

3)         Print media;

 

4)         Broadcast media;

 

5)         Social media;

 

6)         Billboards or signage;

 

7)         Internet advertising;

 

8)         Sweepstakes or other giveaways;

 

9)         Promotional items; or

 

10)       Patron acquisition, referral, or retention programs.

 

c)         Each owners and organizational gaming licensee or applicant shall retain a copy of all advertising and marketing materials intended to promote any gambling operation in the State of Illinois, including a log of when and how those materials have been published, aired, displayed, or distributed.  Dynamically generated electronic advertising shall include all details about the methods and about how and when advertising is shown.  These materials and logs shall be retained in accordance with the retention schedule prescribed by the Board.

 

d)         All advertising and marketing materials and the publication log shall be made available to the Board or its agents upon request.

 

e)         All advertising and marketing materials published, aired, displayed, or distributed in Illinois or that target Illinois residents by or on behalf of any licensee or applicant shall comply with the following:

 

1)         Shall not contain any false, deceptive, or misleading statements or information;

 

2)         Shall not imply or promote gambling as free of risk in general or in connection with a particular promotion or offer;

 

3)         Shall not describe gambling as "free", "cost free", "free of risk", or any other similar language if the patron needs to incur any loss or risk the patron's own money to use, obtain, or withdraw winnings;

 

4)         Shall not imply greater chances of winning based on wagering in greater frequency, quantity, or amount, unless based on published data or verifiable facts;

 

5)         Shall not imply greater chances of winning versus other licensees;

 

6)         Shall state patrons must be 21 years of age or older to gamble;

 

7)         Shall not directly advertise or promote gambling to individuals under 21 years of age;

 

8)         Shall not contain images, symbols, celebrity or entertainer endorsements, or language designed to appeal specifically to those under 21 years of age;

 

9)         Shall not feature anyone who is, or appears to be, under 21 years of age;

 

10)       Shall not be published, aired, broadcast, displayed, or distributed in outlets that appeal primarily to individuals under 21 years of age;

 

11)       Shall not be placed before any audience where the majority of viewers or participants is reasonably expected to be under 21 years of age;

 

12)       Shall not be published, aired, broadcast, displayed, or distributed on any college or university campus, or college or university media outlets such as college or university newspapers and radio or television broadcasts, or any sports venues used primarily for college and university events;

 

13)       Shall not depict college or university students, colleges or universities, or college or university settings;

 

14)       No gambling messages, including logos, trademarks or brand names, shall be used or licensed for use on clothing, toys, games or game equipment intended primarily for persons under 21 years of age. To the extent that promotional products carry gambling messages or brand information, an applicant or licensee shall use commercially reasonable efforts to distribute such products only to those who have reached the legal age for gambling in Illinois;

 

15)       Shall include problem gambling language materially consistent with the compulsive gambling text determined by rule by the Department of Human Services pursuant to Section 13.1(a) of the Illinois Gambling Act;

 

16)       Shall not use the logo or name of the Illinois Gaming Board other than to indicate that they are a Board licensee;

 

17)       Gambling brands, logos, or messages shall not be placed on any website, printed page, or other medium devoted primarily to individuals seeking assistance or information on problem or responsible gambling; and

 

18)       All direct marketing shall allow patrons the option to unsubscribe or opt out. Any request to unsubscribe or opt out must be accomplished as soon as practicable.

 

f)         No licensee or applicant may enter into an agreement with a third party, other than an affiliated entity, to conduct advertising or marketing on behalf of, or to the benefit of, the licensee when compensation is dependent on, or related to, the volume or outcome of wagers.

 

g)         This Section only applies to activities directed towards members of the general public.  For the purposes of Section 3000.680 and the Illinois Gambling Act, "general public" does not include individuals physically present at the gaming operation.

 

(Source:  Added at 49 Ill. Reg. 10016, effective July 17, 2025)

 

Section 3000.700  Organization of Subpart

 

Sections 3000.701 through 3000.740 of this Subpart apply to the Board Exclusion List established by Section 3000.710 and do not apply to the Self-Exclusion List established by Section 3000.750.  Sections 3000.745 through 3000.790 of this Subpart apply to the Self-Exclusion List established by Section 3000.750 and do not apply to the Board Exclusion List established by Section 3000.710.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.701  Duty to Exclude

 

No excluded person shall be permitted entry into any portion of a riverboat gaming operation.  When a person is placed on the Board Exclusion List by the Administrator, such person shall be prohibited from contact of any kind with any riverboat gaming operation in the State of Illinois unless and until a determination is made by the Board or a court to the contrary.  It shall be the duty of the holder of an owner's license and of its employees to exclude or eject from a riverboat gaming operation any excluded person when such holder or employee knows or reasonably should know of the presence of such excluded person.  It shall further be the duty of the holder of an owner's license to inform the Administrator in writing of the names of persons such holder reasonably believes meet the criteria for placement on the Board Exclusion List.

 

(Source:  Added at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.705  Voluntary Self-Exclusion Policy (Repealed)

 

 

 

(Source:  Repealed at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.710  Distribution and Availability of Board Exclusion List

 

The Board shall maintain a list of persons to be ejected or excluded from a riverboat gaming operation.  This list shall be known as the Board Exclusion List.  The list shall be distributed to each riverboat gaming operation, which shall acknowledge receipt of the list in writing. The list may also be distributed to law enforcement agencies. The following information, to the extent known, shall be provided for each person on the Board Exclusion List:

 

a)         The full name and date of birth and all aliases;

 

b)         A physical description;

 

c)         The effective date the person's name was placed on the list;

 

d)         A photograph, if available;

 

e)         The person's occupation and his current home and business address; and

 

f)         Such other information as deemed necessary by the Administrator.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.720  Criteria for Exclusion or Ejection and Placement on the Board Exclusion List

 

The Administrator may place a person on the Board Exclusion List or eject such person from a riverboat gaming operation if that person has:

 

a)         Been convicted in any jurisdiction of a felony, any crime of moral turpitude or a crime involving gaming;

 

b)         Violated either the Act or this Part;

 

c)         Performed any act or had a notorious or unsavory reputation that would adversely affect public confidence and trust in gaming; or

 

d)         His or her name on any valid and current exclusion list from another jurisdiction in the United States.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.725  Duty of Licensees

 

No licensee shall knowingly allow any person excluded pursuant to Section 3000.720 to gamble at or enter its riverboat gaming operation.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.730  Procedure for Entry of Names

 

a)         Upon a determination that a person comes under any one of the criteria listed in Section 3000.720, that person shall be deemed a candidate for exclusion and the Administrator shall file a Notice of Exclusion.  The notice shall include the identity of the candidate, the nature and scope of the circumstances or reasons that the person should be placed on the Board Exclusion List, names of potential witnesses, and a recommendation as to whether the exclusion or ejection shall be permanent.  The notice shall also inform such person of the availability of a hearing by the Board pursuant to Subpart D.  A request for a hearing must be made within 30 days from the date the Notice of Exclusion was postmarked.

 

b)         When a person is excluded or ejected, that person is prohibited from further contact of any kind with any riverboat gaming operation in the State of Illinois unless and until a determination is made by the Board on the merits of a filed Notice of Exclusion or a requested hearing pursuant to Subpart D of this Part.  If a determination by the Board is examined under judicial review pursuant to Section 17.1 of the Act, then the exclusion shall continue until the judicial review is completed.

 

c)         If the Board or a subsequent judicial review finds in favor of the candidate or excluded person, then his or her name shall be removed from the Board Exclusion List and his or her exclusion shall be terminated as of the date of the action by the Board or the court.  If the finding is against the candidate or excluded person, his or her name shall be placed on the Board Exclusion List.  If no hearing is requested, the person's name shall be placed on the Board Exclusion List.  If the Notice of Exclusion requests a temporary exclusion, and the Administrator agrees to make the exclusion temporary, the Administrator shall set the term of the temporary exclusion.  In  no case shall a temporary exclusion be less than 6 months.  A temporary exclusion or ejection shall only apply to those persons excluded or ejected for criteria relating to conduct.  All other exclusions or ejections shall be permanent.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.740  Petition for Removal from the Board Exclusion List

 

a)         Any person who has been placed on the Board Exclusion List may, after the expiration of one year from the date of placement on the list or from the conclusion of any hearing or appeal associated with placement on the list, whichever is later, petition the Board, in writing, and request that his or her name be removed from the list.  The petition shall be verified and state with specificity facts believed by the petitioner to constitute clear and convincing evidence for removal of his or her name from the list.  The petition shall be notarized and shall include a certification in the following form:

 

The undersigned certifies that the statements set forth in this petition are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he verily believes the same to be true.

 

b)         The Board shall either deny the petition or set the petition for hearing.  The Board may deny a petition for removal from the Board Exclusion List if the petition fails to comply with any of the requirements of subsection (a) of this Section or if the facts contained in the petition are the same or substantially the same facts that the petitioner set forth in a request for hearing under Section 3000.405 or previous petition for removal under this Section.  In the event the Board elects to set the petition for hearing, the procedures specified in Subpart D of this Part, with the exception of Section 3000.405(a), (b), (c) and (d), shall apply.

 

c)         Any information, including the record of evidence and testimony, if any, used by the Board in making its original determination to exclude petitioner may be considered by the Board, provided, however, that the record shall not be reopened.

 

d)         The Board's denial of a petition for removal from the Exclusion List is a final decision of the Board.  Judicial review of the final order of the Board shall be conducted in accordance with the Administrative Review Law [735 ILCS 5/Art. III] pursuant to Section 17.1(b) of the Riverboat Gambling Act [230 ILCS 10/17.1(b)].

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.745  Voluntary Self-Exclusion Policy

 

The Board shall provide a procedure whereby a person who acknowledges that he or she has a gambling problem may self-identify and self-exclude himself or herself from the area within the admission turnstiles of Illinois riverboat gaming operations.  The procedure shall require self-excluded persons to agree not to enter the area within the admission turnstiles of any riverboat gaming operations and agree to be removed voluntarily from all mailing, marketing and promotional lists and databases.

 

(Source:  Added at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.750  Establishment of a Self-Exclusion List

 

a)         Any person who acknowledges that he or she has a gambling problem may request of the Board that he or she be excluded voluntarily from the area within the admission turnstiles of all riverboat gaming operations in Illinois on a permanent basis, except as limited by Section 3000.780.  A person shall be placed on the Self-Exclusion List upon submission of all information and completion and execution of all forms required under Section 3000.755, as enforced by the Administrator.

 

b)         Any person placed on the Self-Exclusion List shall be prohibited for a minimum of 5 years from entering the area within the admission turnstiles of any riverboat gaming operation in the State of Illinois.  Any gaming operation in the United States owned or operated by an affiliate of an Illinois riverboat gaming operation may, in its sole discretion, prohibit a person placed on the Self-Exclusion List from entering its affiliated gaming operations.  Any gaming regulatory agency in any state with which the Board enters into an agreement to share confidentially the information contained in the Self-Exclusion List may, in its sole discretion, prohibit a person placed on the Self-Exclusion List from entering any gaming operation within its jurisdiction.

 

c)         The Administrator shall maintain the Self-Exclusion List in a confidential manner.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.751  Locations to Execute Self-Exclusion Forms

 

Any person may seek placement on the Self-Exclusion List by contacting any agent of the Board on any riverboat gaming operation at any time when gaming is conducted, appearing at the offices of the Board in Chicago or Springfield, Illinois during regular business hours, or appearing before a designated registration agent. Persons who are unable to travel to a Board office due to employment, financial or medical reasons may request, in writing, a reasonable accommodation in a manner or at a site and time designated at the sole discretion of the Administrator.  Nothing in this Section shall require that an accommodation be granted.

 

(Source:  Added at 26 Ill. Reg. 9307, effective June 14, 2002)

 

Section 3000.755  Information Required for Placement on the Self-Exclusion List

 

a)         The Administrator shall determine the information and forms to be required of a person seeking placement on the Self-Exclusion List. Such information shall include, but not be limited to, the following:

 

1)         Full name, including maiden name and alias information;

 

2)         Home Street Address and/or P.O. Box;

 

3)         Date of Birth;

 

4)         Social Security Number;

 

5)         A copy of his or her driver's license;

 

6)         A physical description; and

 

7)         A current photograph.

 

b)         Failure to provide any information or to execute any forms deemed necessary by the Administrator may result in a denial of a request for placement on the Self-Exclusion List.

 

c)         Such forms may include a request to waive the liability of the Board, its agents and the State of Illinois for any damages that may arise out of any act or omission related to placement on the Self-Exclusion List.

 

(Source:  Added at 26 Ill. Reg. 9307, effective June 14, 2002)

 

Section 3000.756  Stipulated Sanctions for Failure to Adhere to Voluntary Self-Exclusion

 

a)         A person seeking placement on the Self-Exclusion List shall, at the time of the request to be placed on the List, agree in writing that he or she will:

 

1)         Not enter the area within the admission turnstiles of any riverboat gaming operation in the State of Illinois; and

 

2)         Forfeit all claimed or unclaimed jackpots and winnings, and all chips, tokens, vouchers or electronic credits in play or in plain view in the possession or control of the self-excluded person, at the time he or she is apprehended, as a sanction for entering the area within the admission turnstiles of a riverboat gaming operation after voluntary placement on the Self-Exclusion List.

 

b)         A person shall designate, at the time of his or her request for placement on the Self-Exclusion List, the duly registered charitable or governmental agency on a list of gambling support service and/or treatment providers approved by the Department of Human Services that shall receive a donation of assets forfeited by the person as provided by this Section, if the self-excluded person enters the area within the admission turnstiles of a riverboat gaming operation.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.760  Distribution and Availability of Confidential Self-Exclusion List

 

a)         The Board shall maintain and keep current the Self-Exclusion List. The List shall be updated and distributed in its entirety to each riverboat casino on a regular basis.

 

b)         Upon placement on the Self-Exclusion List by the Administrator, the name and identifying information of the self-excluded person shall be distributed to each riverboat gaming operation.

 

c)         No riverboat gaming operation may disclose the name of any person on the Self-Exclusion List to any third party unless specifically authorized by this Part or required by a court order specifically requiring the release of mental health records and information.

 

d)         No owner licensee, occupational licensee or applicant or approved Key Person or Key Person applicant who obtains identifying information about a person on the Self-Exclusion List from any source may discloses the name or identifying information of the self-excluded person, except as necessary to effectuate, or as specifically permitted by, this Part.

 

e)         Any licensee or applicant for license and any approved Key Person or Key Person applicant who knowingly discloses, authorizes disclosure, permits a disclosure, or otherwise assists in the disclosure of the identity of a person on the Self-Exclusion List shall be subject to discipline for each disclosure, including but not limited to any disclosure by any of its officers, directors, employees, attorneys, agents and contractors, unless the disclosure complies with the following provisions:

 

1)         The disclosure is made on the same need to know basis restriction applicable to mental health information to staff for the sole purpose of effectuating the approved Internal Control responsibilities.

 

2)         The disclosure is made for the sole purpose of effectuating the Self-Exclusion program and this Part as to any customer tracking system, customer identification system, chips and token exchange system, financial transactions system, or check and credit system.

 

3)         The disclosure is made in compliance with the approved Internal Controls.

 

f)         Disclosure may be made to affiliate gaming operations with the prior written approval of the Administrator.  A licensee seeking such approval must provide to the Administrator an explanation of the manner in which the identity of the self-excluded persons will be maintained confidentially by the affiliate gaming operations.

 

g)         Nothing in this Section prohibits disclosure of the name of a person on the Self-Exclusion List to the Board or its staff or to a person authorized in writing by the self-excluded person on the Self-Exclusion List to receive such information.

 

(Source:  Added at 26 Ill. Reg. 9307, effective June 14, 2002)

 

Section 3000.770  Duties of Licensees

 

a)         No licensee shall knowingly allow any person placed on the Self-Exclusion List pursuant to Section 3000.750 to enter the area within the admission turnstiles of, or engage in gambling at, the riverboat gaming operation.  The riverboat gaming operation shall cause the name and address of any person on the Self-Exclusion List to be flagged on all mailing, marketing or promotional lists or databases, except as provided in this Part.  No licensee shall knowingly send marketing or promotional materials to any person placed on the Self-Exclusion List.

 

b)         Owner licensees shall maintain, pursuant to Section 3000.760, a system designed to detect persons on the Self-Exclusion List so as to enforce this Part.

 

c)         Forfeiture

 

1)         A licensee must immediately notify a Board agent upon making a determination that a person listed on the Self-Exclusion List has entered the area within the admission turnstiles of a riverboat gaming operation and remove the person from the riverboat gaming operation.

 

2)         Upon ascertaining that a person on the Self-Exclusion List is present in the area within the admission turnstiles of a riverboat gaming operation, a licensee must inventory, in the presence of an IGB agent, all claimed or unclaimed jackpots and winnings, and all chips, tokens, vouchers or electronic credits in play or in plain view in the possession or control of the self-excluded person, at the time he or she is apprehended.  The owner licensee shall provide a receipt to the self-excluded person for all items inventoried.

 

3)         Owner licensees shall refrain from knowingly paying out jackpots under $1,200 and from paying out all jackpots in amounts of $1,200 or over won by patrons on the Self-Exclusion List.

 

d)         The riverboat gaming operation shall cause the name and address of any person on the Self-Exclusion List to be flagged on all check-cashing, credit issuance, and other financial eligibility lists or databases utilized by the riverboat gaming operation for any purposes, except as authorized by this Part. Owner licensees shall not knowingly cash checks for, extend gaming operation credit to, or otherwise assist a person on the Self-Exclusion List to obtain funds for gambling purposes.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.780  Request for Removal from the Self-Exclusion List

 

a)         Upon the expiration of 5 years from the date of placement on the Self-Exclusion List, any person who has been placed on the Self-Exclusion List may request the Administrator to remove his or her name from the Self-Exclusion List. The request must be in writing, state with specificity the reason for the request and be submitted to the Administrator at the Board's Chicago office.  The request must be based on the elimination of a mental health or medical condition underlying the person's acknowledgment that he or she has been a problem gambler and unable to gamble responsibly. Information as to mental health or medical conditions will be maintained pursuant to the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110] and other  applicable federal and State laws.

 

b)         If the Administrator approves the request, the Administrator shall inform all riverboat gaming operations of the removal no later than 10 days after approval.   If the Administrator denies the request, the Administrator shall send to the person who has requested removal a Notice of Denial of Removal from the Self-Exclusion List by certified mail.  Owner licensees may continue to deny gambling privileges to self-excluded persons who have been removed from the List.

 

c)         A decision whether to remove a person from the Self-Exclusion List shall be within the discretion of the Administrator, subject to the fulfillment of all requirements under Section 3000.782 and further subject to the process provided by Section 3000.785.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.782  Required Information, Recommendations, Forms and Interviews

 

a)         A person requesting removal from the Self-Exclusion List must, in connection with the request, provide the Administrator with all of the following:

 

1)         Documentation as to treatment received for the person's gambling problem, length of treatment, and names and qualifications of treatment providers.

 

2)         A written recommendation, from a treating physician or qualified mental health professional who is a certified gambling counselor, as to the self-excluded person's capacity to participate in gambling without adverse health and mental health risks or consequences related to gambling.  For purposes of this Subpart, "certified gambling counselor" means an individual who has completed a specific course of study in the treatment of problem gambling and has been certified by a certification organization acceptable to the Board and listed on the Board's website.

 

3)         Upon request of the Administrator, a written recommendation, from a second or subsequent physician or qualified mental health professional who is a certified gambling counselor, as to the self-excluded person's capacity to participate in gambling without adverse health and mental health risks or consequences related to gambling.

 

4)         All information required under Section 3000.755(a).

 

5)         A statement informing the Administrator whether the person has been present at any riverboat gaming operations while on the Self-Exclusion List and, if so, the names of the riverboat operations at which the person was present and dates and times of attendance.

 

6)         A waiver of liability of the Board, its agents and the State of Illinois for any damages that may arise out of any act or omission committed by the person as a consequence of his or her removal from the Self-Exclusion List, including any monetary or other damages sustained in connection with the person's renewal of any gaming activities.

 

7)         A verified, written consent to the release of all of the person's medical and counseling records related to the proposed removal from the Self-Exclusion List.

 

8)         Any additional information, forms, recommendations, or other materials necessary, as determined by the Administrator, to demonstrate the elimination of the mental health or medical condition underlying the person's acknowledgement that he or she has been a problem gambler and unable to gamble responsibly.

 

b)         Upon request of the Administrator, a person seeking removal from the Self-Exclusion List shall appear for an interview at an office of the Board designated by the Administrator during regular business hours.  Persons who are unable to travel to a Board office due to employment, financial or medical reasons may request, in writing, a reasonable accommodation in a manner or at a site and time designated at the sole discretion of the Administrator.  Nothing in this Section shall require that an accommodation be granted.

 

c)         The Administrator shall ascertain to the extent possible whether a person requesting removal from the Self-Exclusion List was ever present in the area within the admission turnstiles of a riverboat gaming operation while on the list.

 

d)         The Administrator shall not rule on a request for removal from the Self-Exclusion List until all requirements of this Section have been fulfilled.

 

(Source:  Added at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.785  Appeal of a Notice of Denial of Removal

 

a)         A denial by the Administrator of a request by a self-excluded person to be removed from the Self-Exclusion List pursuant to Section 3000.780 shall be subject to review by the Board upon a verified written petition submitted to the Board within 10 days after the issuance of the Notice of Denial of Removal.

 

b)         The petition shall state with specificity facts believed by the petitioner to constitute clear and convincing evidence for removal of his or her name from the Self-Exclusion List. The petition shall be notarized and shall include a certification in the following form:

 

The undersigned certifies that the statements set forth in this petition are true and correct, except as to matters in the petition stated to be on information and belief.  As to matters stated to be on information and belief, the undersigned certifies that he or she believes these matters to be true and correct.

 

c)         The Board shall either deny the petition or set the petition for hearing.  The Board may deny a petition if:

 

1)         The petition fails to comply with any of the requirements of subsection (a) or (b) of this Section;

 

2)         The facts contained in the petition are the same or substantially the same facts that the petitioner set forth in a previous petition filed under this Section; or

 

3)         The petition, assuming all facts contained in it are true and correct, does not establish a prima facie case.

 

d)         In the event the Board elects to set the petition for hearing, the procedures specified in Subpart D of this Part, with the exception of Section 3000.405(a), (b), (c) and (d), shall apply.

 

e)         For purposes of hearings conducted under this Section, all information, recommendations, forms, records of interviews and other materials, formal and informal, obtained by the Administrator in accordance with Section 3000.782 shall be considered official Gaming Board records under Section 3000.430 and therefore admissible into evidence.

 

f)         All proceedings related to an administrative hearing on a Notice of Denial of Removal shall be closed to members of the public unless otherwise consented to in writing by the self-excluded person or allowed by federal or State law.

 

g)         The Board's denial of a petition brought under this Section is a final decision of the Board.  Judicial review of the final order of the Board shall be conducted under the Administrative Review Law [735 ILCS 5/Art. III], in accordance with Section 17.1(b) of the Riverboat Gambling Act [230 ILCS 10/17.1(b)].

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.786  Duties of Owner Licensees to Persons Removed from the Self-Exclusion List

 

a)         Each owner and manager licensee shall establish its own policies and procedures for allowing or disallowing any person removed from the Self-Exclusion List to enter or game on its riverboat gaming operation subsequent to the person's removal from the Self-Exclusion List.  The policies and procedures of owner and manager licensees developed in compliance with this Section shall not be subject to appeal under this Part.

 

b)         Nothing in this Part shall require any licensee under the Act to provide assistance to a person removed from the Self-Exclusion List.

 

(Source:  Added at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.787  Placement on the Self-Exclusion List Following Removal

 

A person whose name has been removed from the Self-Exclusion List may subsequently request to be placed again on the list.  The procedure for placement on the Self-Exclusion List under this Section shall be the same as that for a person requesting placement on the list for the first time.  A placement of a person on the Self-Exclusion List under this Section shall be permanent, notwithstanding any other provision of this Subpart.

 

(Source:  Added at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.790  Duties of the Board

 

The Board shall assist a person who acknowledges that he or she has, or has had, a gambling problem as provided in this Part.  The Administrator shall provide to a person seeking placement on, or removal from, the Self-Exclusion List pertinent information about the Illinois Department of Human Services, including any information about problem gambling and post-treatment assistance, deemed appropriate for distribution by the Department of Human Services.  The Administrator may refer any inquiries for assessment, evaluation, treatment or post-treatment assistance from a person seeking to be placed on, or removed from, the Self-Exclusion List to the Department of Human Services or another appropriate source of information.

 

(Source:  Amended at 31 Ill. Reg. 8098, effective June 14, 2007)

 

Section 3000.800  Required Surveillance Equipment

 

The holder of an owners license or organization gaming license shall install in the Riverboat, casino, or organization gaming facility a closed circuit television system in accord with the specifications in this Section and shall provide access to the system or its signal to the Board.  The closed circuit television must meet or exceed the following specifications:

 

a)         Solid state, color cameras, ⅔, ½, ⅓ or ¼ format, with minimum 400 plus line resolution installed in fixed positions with matrix control and/or with pan, tilt and zoom capabilities, secreted from public and non-surveillance personnel view to effectively and clandestinely monitor in detail, from various vantage points, the following:

 

1)         The Gaming conducted at the Electronic Gaming Devices;

 

2)         The master display board and the number or ball selection device for Keno;

 

3)         The count processes conducted in the count rooms;

 

4)         The movement of cash, Chips, drop boxes, tip boxes, Token storage boxes, and drop buckets within the Riverboat and any area of transit of uncounted Tokens, Chips, cash and cash equivalents;

 

5)         Any area where Tokens or Chips can be purchased, Vouchers issued, or Tokens, Chips or Vouchers redeemed, including but not limited to Voucher Validation Terminals and cage cashiers at a holder of an Owner's license;

 

6)         The entrance and exits to the gaming operation and the count rooms;

 

7)         For all live Games regardless of patron or employee position:

 

A)        Hands of all Gaming patrons and dealers;

 

B)        Tray; and

 

C)        Overall layout of the table area capable of capturing clear individual images of Gaming patrons and dealers, inclusive of, without limitation, facial views and the playing surface so that the outcome of each Game may be clearly observed;

 

8)         Such other areas as the Administrator designates;

 

b)         Individual solid state, color, television cameras, ⅔, ½, ⅓ or ¼ format, with minimum 320 plus line resolution with matrix and/or pan, tilt and zoom capabilities, secreted from public and non-surveillance personnel view augmented with appropriate color corrected lighting to effectively and clandestinely monitor in detail, from various vantage points, the following:

 

1)         Roulette tables, in a manner to clearly observe the Wagers, patrons, and the outcome of each Game;

 

2)         The operations conducted at the fills and credit area of the cashier's cages;

 

c)         All closed circuit cameras equipped with lenses of sufficient magnification to allow the operator to clearly distinguish the value of the Chips, Tokens and playing cards;

 

d)         Video monitors that meet or exceed the resolution requirement for video cameras with solid state circuitry, and time and date insertion capabilities for taping what is being viewed by any camera in the system.  Each video monitor screen must measure diagonally at least 12 inches and all controls must be front mounted;

 

e)         Video printers capable of adjustment and possessing the capability to generate instantaneously, upon command, a clear, color copy of the image depicted on the recording;

 

f)         Date and time generators based on a synchronized, central or master clock, visible on any monitor when recorded;

 

g)         Wiring to prevent tampering.  The system must be supplemented with a back-up gas/diesel generator power source which is automatically engaged in case of a power outage and capable of returning to full power within seven to ten seconds;

 

h)         An additional uninterrupted power supply system so that time and date generators remain active and accurate, and switching gear memory and video surveillance of all gaming operation entrances/exits and cage areas is continuous;

 

i)          Video switchers capable of both manual and automatic sequential switching for the appropriate cameras;

 

j)          Licensees shall utilize digitally recorded channels and must provide the IGB with the necessary software to review digitally recorded information. 

 

k)         All digital channels recording gaming related images must record at a minimum of 30 frames per second, with non-gaming channels recorded at a minimum of 10 frames per second.  The systems must allow the secure and audited export of video files at the resolution originally recorded, including the capability of providing watermarked recordings or non-editable formatting to ensure the integrity of the recorded images.

 

l)          Audio capability in the soft count room; and

 

m)        Adequate lighting in all areas where camera coverage is required.  The lighting shall be of sufficient intensity to produce clear recorded and still picture production, and correct color correction.  The video must demonstrate a clear picture, in existing light under normal operating conditions.

 

n)         Compliance with this Section may be met by filing an acceptable compliance plan to the Board, including a proposed timeline for full implementation of this Section and a demonstration of good cause efforts towards implementation.  The compliance plan must be updated upon any change or delays to the compliance plan.

 

(Source:  Amended at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.810  Riverboat and Board Surveillance Room Requirements

 

There shall be for the exclusive use of the Board agents and for the use by surveillance employees of the Riverboat Gaming Operation, rooms on each Riverboat for monitoring and recording purposes.  The room for the exclusive use of the Board shall be designated the Board Surveillance Room.  The room for the use of the surveillance employees of the Riverboat Gaming Operation shall be designated the Riverboat Surveillance Room.

 

a)         All equipment that is utilized to monitor or record must remain solely accessible to the Riverboat Surveillance Room personnel and be exclusively for Riverboat surveillance, except  when such equipment is being repaired or replaced.

 

b)         Employees or agents of the Riverboat Gaming Operation assigned to monitoring duties in the Riverboat Surveillance Room shall have no duties unrelated to surveillance within the Riverboat Gaming Operation.

 

c)         The interior of the Board Surveillance Room and the Riverboat Surveillance Room shall not be visible to the public.

 

d)         Each Riverboat shall have a minimum of eight (8) monitors in the Riverboat Surveillance Room, and three (3) monitors in the Board Surveillance Room.  Each room shall have appropriate switching capabilities to insure that all surveillance cameras are accessible to monitors in both surveillance rooms.  The equipment in the Board Surveillance Room must be able to monitor and record, without being overridden, anything visible by monitor to employees of the holder of an Owner's License.

 

e)         The Board and its agents shall at all times be afforded immediate access to the Riverboat Surveillance Room, other surveillance areas, and all records relating to such surveillance.

 

f)         The Riverboat Surveillance Room and the Board Surveillance Room shall be equipped with all the required surveillance equipment as specified in Section 3000.800.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.820  Segregated Telephone Communication

 

A segregated telephone communication system shall be provided for use by Board agents in the Board Surveillance Room.

 

Section 3000.830  Surveillance Logs

 

The holder of the Owner's License shall be required to maintain a surveillance log of all surveillance activities in the Riverboat Surveillance Room. The log shall be maintained by Riverboat Surveillance Room personnel. The Board shall have access at all times to the log. The log shall include the following:

 

a)         All persons entering and exiting the Riverboat Surveillance Room;

 

b)         Summary, including date, time and duration, of the surveillance; and

 

c)         Record of any equipment or camera malfunctions.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.840  Storage and Retrieval

 

a)         All videotape and digital recordings shall be retained as provided in the Records Retention Schedule (see Section 3000.115) promulgated by the Administrator under authority of the Illinois Gambling Act [230 ILCS 10/5] and shall be listed on a log by surveillance personnel with the date, times, and identification of the person monitoring or changing the tape in the recorder.  Original videotape and digital recordings will be released to the Board upon demand.

 

b)         Any videotape or digital recording that records illegal or suspected illegal activity shall, upon completion of the recording, be removed from the recorder and etched or otherwise indelibly marked with date, time and identity of surveillance personnel.  Digital recordings that record illegal or suspected illegal activity shall be transferred to a read-only, non-erasable format approved by the Administrator.  The videotape or digital recording shall be placed in a separate, secure area and notification given to the Board agent.

 

c)         The viewing of any videotape or digital recording other than by Illinois Gaming Board staff or designated surveillance employees of an owners licensee is prohibited unless specifically approved by the Administrator or his or her designee, or pursuant to a lawful subpoena.

 

d)         In addition to the Board Surveillance Room described in Section 3000.810, the licensee shall provide to the Board real time remote access to the surveillance system, accessible from outside the premises of the gaming operation.

 

e)         Remote access to the surveillance system is permitted by individuals other than Illinois Gaming Board staff if all of the following criteria are satisfied:

 

1)         Access is limited to individualized unique log in credentials;

 

2)         All access is logged, including, at minimum, the date and time of each access, identity of the user, and information identifying the sources of the remote access; and

 

3)         The licensee establishes approved internal controls designed to prevent unauthorized access to the surveillance system.

 

(Source:  Amended at 47 Ill. Reg. 8454, effective May 30, 2023)

 

Section 3000.850  Dock Site Board Facility

 

The holder of an Owner's license shall provide a secure and segregated room at the dock site for the exclusive use of Board agents. This room shall be in addition to the Board Surveillance Room provided for Board agents on the Riverboat. The dock site room shall be of a size approved by the Administrator. The dock site room shall include a secure telephone line with a different number than the telephone lines on the Riverboat.

 

(Source:  Amended at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.860  Maintenance and Testing

 

a)         At various times, all surveillance equipment shall be subject to impromptu Board testing of minimum standards of resolution and operation. Any malfunction of surveillance equipment shall necessitate the immediate replacement of the faulty unit with a working unit. If immediate replacement is not possible, alternative live monitoring must be provided by Riverboat security personnel. This live monitoring must meet the approval of the Board agent on board in order for Gaming to continue in the affected surveillance area.

 

b)         Upon completion of the excursion, Board personnel shall meet with representatives of the Riverboat Gaming Operation to ascertain the approximate time needed to make necessary repairs and determine whether Gaming may continue with live monitoring.

 

Section 3000.900  Liquor Control Commission

 

The Illinois Liquor Control Commission shall issue Riverboat liquor licenses to holders of an Owner's License in accordance with the Liquor Control Act of 1934 [235 ILCS 5].

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.910  Liquor Licenses

 

a)         Fees.

            The annual license fee shall be $150.00.

 

b)         Duration of license.

            All Riverboat liquor licenses issued by the Commission shall be valid for a period not to exceed one year after issuance, unless revoked or suspended as described in 235 ILCS 5/5-2.

 

c)         No Riverboat shall sell liquor without possessing a Temporary Operating Permit or an Owner's License.

 

d)         Display of the liquor license.

            Every holder of an Owner's License shall cause the liquor license to be framed and hung in plain view in a conspicuous place on the licensed premises.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.920  Disciplinary Action

 

The holder of an Owner's License shall be subject to disciplinary action in accordance with Section 3000.110 for serving intoxicating beverages to persons who are visibly intoxicated or permitting such persons to participate in Gaming.

 

Section 3000.930  Hours of Sale

 

A holder of an owners license may sell alcoholic beverages or furnish or permit the same to be consumed on the Riverboat between the hours of 9:30 a.m. and 4:00 a.m. each Gaming Day.  Any owners licensee that does not conduct gambling operations 24 hours a day may sell alcoholic beverages or furnish or permit the same to be consumed on the Riverboat or in the casino from 9:30 a.m. until one hour prior to that licensee's close of Gaming Operations.

 

(Source:  Amended at 44 Ill. Reg. 3224, effective February 4, 2020)

 

Section 3000.1000  Ownership Records

 

A holder of an Owner's license shall keep on a permanent basis and provide to the Board upon request the following records.

 

a)         If a corporation:

 

1)         A certified copy of the articles of incorporation and any amendments;

 

2)         A certified copy of the bylaws and any amendments;

 

3)         A certificate of good standing from the state of its incorporation;

 

4)         A certificate of authority from the Illinois Secretary of State authorizing it to do business in Illinois, if such corporation is operating as a foreign corporation in Illinois;

 

5)         A list of all current and former officers and directors;

 

6)         A certified copy of minutes of all meetings of the stockholders and directors;

 

7)         A current list of all stockholders including the names of beneficial owners of shares held in street or other names;

 

8)         The name of any business entity and a current list of all stockholders in such entity, including the names of beneficial owners of shares held in street or other names, in which such corporation has a direct, Indirect or Attributed Interest;

 

9)         A copy of the stock certificate ledger;

 

10)       A complete record of all transfers of stock;

 

11)       A schedule of amounts paid to the corporation for issuance of stock and other capital contributions and dates thereof;

 

12)       A schedule of all dividends distributed by the corporation; and

 

13)       A schedule of all salaries, wages, and other remuneration (including perquisites), direct or indirect, paid during the calendar or fiscal year, by the corporation, to all officers, directors, and stockholders with an ownership interest at any time during the calendar or fiscal year, equal to or greater than 5% of the outstanding capital stock of any class of stock.

 

b)         If a partnership:

 

1)         A certified copy of the partnership agreement;

 

2)         A certificate of limited partnership of its domicile;

 

3)         A list of the partners, including names, addresses, the percentage of interest in net assets, profits and losses held by each, the amount and date of each capital contribution of each partner, and the date the interest was acquired;

 

4)         A schedule of all withdrawals of partnership funds or assets; and

 

5)         A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to each partner during the calendar or fiscal year.

 

c)         If a sole proprietorship:

 

1)         A schedule showing the name and address of the proprietor and the amount and date of his original investment;

 

2)         A schedule of dates and amounts of subsequent additions to the original investment and any withdrawals; and

 

3)         A schedule of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to the proprietor during the calendar or fiscal year.

 

(Source:  Amended at 25 Ill. Reg. 94, effective January 8, 2001)

 

Section 3000.1010  Accounting Records

 

The holder of an Owner's license shall keep, in accordance with the retention schedule, and provide to the Board upon request the following records:

 

a)         The accounting records shall be maintained using a double entry system of accounting with transactions recorded on the accrual basis and supported by detailed and subsidiary records.

 

b)         The Administrator shall prescribe a uniform chart of accounts including account classifications in order to insure consistency, comparability, and appropriate disclosure of financial information. The prescribed chart of accounts shall be the minimum level of detail to be maintained for each accounting classification by the holder of an Owner's license.

 

c)         The detailed subsidiary records shall include as a minimum the following:

 

1)         Detailed general ledger accounts identifying all revenue sources, expenses, assets, liabilities and equity for the holder of an Owner's license;

 

2)         Records of all investments, advances, loans and receivable balances, other than patron checks, due the establishment;

 

3)         Record of all loans and other amounts payable by the holder of an Owner's license;

 

4)         Record of all patron checks initially accepted by the holder of an Owner's license, deposited by the owner, returned to the owner as "uncollected" and ultimately written-off as uncollectible by the holder of an Owner's license;

 

5)         Journal entries prepared by the holder of an Owner's license and the independent accountant selected by the Administrator;

 

6)         Tax workpapers used in preparation of any state or federal tax return;

 

7)         Records that identify Table Drop, Table Win and percentage of Table Win to Table Drop for each live table Game and those records accumulated for each type of live table Game, either by shift or other accounting period approved by the Administrator;

 

8)         Records that identify the actual Tokens-in, Tokens-out, Vouchers issued, Vouchers redeemed, Electronic Gaming Device Drop, Electronic Gaming Device Win, Electronic Gaming Device Win to Electronic Gaming Device Drop and Theoretical Payout Percentage for each Electronic Gaming Device on a per day basis or other accounting period approved by the Administrator;

 

9)         Records supporting the accumulation of the costs for complimentary services and items. A complimentary service or item provided to patrons in the normal course of an owner's business shall be recorded at an amount based upon the full retail price normally charged for such service or item;

 

10)         Records that identify the purchase, receipt, and destruction of Gaming Chips and Tokens from all sources;

 

11)         Records required to fully comply with all the federal financial record-keeping requirements as enumerated in 31 CFR 103;

 

12)         Records required by the holder of an Owner's license's Internal Control System;

 

13)         Workpapers supporting the daily reconciliation of cash accountability;

 

14)         Records concerning the acquisition or construction of a proposed or existing Riverboat or Support Facility; and

 

15)         Any other records that the Administrator requires be maintained.

 

d)         If a holder of an Owner's license fails to maintain the records used by it to calculate the adjusted gross receipts or the number of persons admitted on the riverboat, the Administrator may compute and determine the amount upon the basis of an audit conducted by the Board based upon available information.

 

(Source:  Amended at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.1020  Standard Financial and Statistical Records

 

a)         The holder of the Owner's License, unless specifically exempted by the Administrator, shall file monthly, quarterly and annual reports of financial and statistical data.

 

b)         The Administrator shall periodically prescribe a set of standard reporting forms and instructions to be used in filing monthly, quarterly and annual reports.

 

c)         Annual reports shall be based on a calendar year beginning January 1 and ending December 31, unless otherwise approved by the Administrator. Quarterly reports shall be based on the calendar quarters ending March 31, June 30, September 30 and December 31. Monthly reports shall be based on calendar months. Quarterly and monthly reports shall contain a cumulative year-to-date column so as to facilitate analysis.

 

d)         The owner licensee's Chief Executive Officer, or the Chief Executive Officer's designee who is approved by the Administrator, shall be responsible for all reports required to be filed pursuant to this Section.

 

e)         Reports required to be filed pursuant to this Section shall be addressed as prescribed by the Administrator and received no later than the required filing date.  The required filling date for monthly reports shall be the last calendar day of the following month.  All other reports required by this Section are due as prescribed in Section 3000.1030(f).

 

f)         In the event of a termination or suspension of the Owner's License, voluntary or involuntary change in business entity or material change in ownership, the holder of an Owner's License shall file an interim quarterly report as of the date of occurrence of such event, unless such event has already been disclosed in a regular quarterly report or unless exempted by the Administrator.  The filing date shall be 30 calendar days after the date of occurrence of the event.

 

g)         Any adjustments resulting from the quarterly and annual audits required in Section 3000.1030 shall be recorded in the accounting records. In the event that the adjustments were not reflected in the holder of an Owner's License's quarterly or annual reports and the Administrator concludes the adjustments are significant, a revised report may be required from the holder of an Owner's License. The revised filing shall be due within 30 calendar days after written notification to the holder of an Owner's License.

 

h)         Delays in mailing, mail pickups, and postmarking are the responsibility of the holder of an Owner's License.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1030  Annual and Special Audits and Other Reporting Requirements

 

a)         Annual and Special Audits and other reports

 

1)         The Administrator shall direct an audit to be performed of the annual financial statements of the holder of an Owner's License including a report on the Internal Control System communicating any reportable conditions and material weaknesses noted in the course of the audit.  Upon written notice by the Administrator other procedures or reports may be required.  The annual audit shall be performed by an independent certified public accountant who is or whose firm is licensed in the State of Illinois.  The independent certified public accountant who performs the annual audit shall be selected by the Administrator, and the selection may be based on the recommendation of the holder of an Owner's License.

 

2)         The annual audit and internal control report procedures shall be performed in accordance with generally accepted auditing standards.  The annual audit report is to be presented in accordance with generally accepted accounting principles and contain the opinion of the independent certified public accountant as to its fair presentation in accordance with such generally accepted accounting principles.

 

3)         To assure the integrity of Gaming, compliance with the Act and the rules of the Board, the Administrator may require at any time a special audit of an owner licensee to be conducted by Board personnel or an independent certified public accountant who is, or whose firm is, licensed in Illinois.  The Administrator shall establish the scope, procedures and reporting requirements of any special audit.

 

b)         Quarterly compliance reports by independent certified public accountants or personnel.  The Administrator shall require quarterly compliance reports to be prepared and procedures performed by independent certified public accountants or Board personnel covering the following:

 

1)         Quarterly agreed-upon procedures to ascertain that Admissions and Adjusted Gross Receipts are determined in conformity with the Act and this Part;

 

2)         Semi-annual agreed-upon procedures relating to internal control;

 

3)         Semi-annual "unannounced" observation of the transportation and count of each of the following:  Electronic Gaming Device Drop, Table Drop, and tip box drop.  For purposes of these procedures, "unannounced" means that no officers, directors or employees of the holder of the Owner's License are given advance information regarding the dates or times of such observations;

 

4)         Review of purchasing functions and contractual agreements, both oral and written, on a sample basis, in order to report on compliance with the owner licensee's Internal Control System and to determine that such purchases and contractual agreements are not in excess of their fair market value.  This review shall be conducted at least annually at the direction of the Administrator; and

 

5)         Quarterly reports on deviations from the owner licensee's approved Internal Control System based on procedures performed in the reports of Admissions and Adjusted Gross Receipts, procedures relating to internal control, purchasing and contracting functions and/or "unannounced" observations.

 

c)         Independent certified public accountants performing annual audits shall not perform compliance services on behalf of the Administrator for the same owner licensees.

 

d)         Independent certified public accountants who perform compliance services to an owner licensee on behalf of the Administrator shall not perform an annual audit or any other service for such owner licensee during the terms of their engagement and for a period of two years following termination of the engagement.

 

e)         The holder of an Owner's License shall prepare a written response relating to findings noted in the independent certified public accountant's or Board's reports required by subsections (a) and (b) of this Section.  The response shall indicate in detail the corrective actions taken.  Such response shall be incorporated in the independent certified public accountant's or Board's reports.

 

f)         The Administrator shall determine the number of copies of reports required under this Section and such reports shall be received by the Board or postmarked no later than the required filing date.

 

1)         Quarterly reports for procedures performed in the first three fiscal quarters of an owner licensee's approved fiscal year shall be due not later than two months after the last day of the quarter.

 

2)         Quarterly reports for the procedures performed in the fourth fiscal quarter of the owner licensee's approved fiscal year and the annual reports shall be due not later than three months after the last day of the calendar or fiscal year.

 

3)         Delays in mailing, mail pickups and postmarking are the responsibility of the owner licensee.

 

g)         Owner licensees who are public reporting companies under the Securities Act of 1933 or the Securities Exchange Act of 1934 shall submit four copies of all reports required by the Securities and Exchange Commission to the Administrator.  These reports shall be due on the same filing dates as required by the Securities and Exchange Commission.

 

h)         All of the audits and reports required by this Section that are performed by independent certified public accountants shall be prepared at the sole expense of the owner licensee.

 

i)          The reporting year end of the holder of an owner's license shall be December 31 unless otherwise approved by the Administrator.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1040  Accounting Controls Within the Cashier's Cage

 

a)         The assets for which the cashiers are responsible shall be maintained on an  imprest basis. At the end of each shift, the cashiers assigned to the outgoing shift shall record on a cashier's count sheet the face value of each cashier's cage inventory item counted and the total of the opening and closing cashier's cage inventories and shall reconcile the total closing inventory to the total opening inventory. The cashiers shall sign the completed cashier's count sheet attesting to the accuracy of the information contained on the cashier's count sheet.

 

b)         At the conclusion of each day, at a minimum, a copy of the cashier's count sheet and related documentation shall be forwarded to the accounting department for agreement of opening and closing inventories, agreement of amounts thereon to other forms records, and documents required by this Section, and recording of transactions.

 

c)         All accounting controls within the cashiers cage shall conform with the approved Internal Control System as required under Subpart C of this Part.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1050  Procedures for Exchange of Checks Submitted by Gaming Patrons and Granting Credit

 

a)         Except as otherwise provided in this Section, no holder of an Owner's license shall make any loan, or otherwise provide or allow to any person any credit or advance of anything of value or which represents value to enable any person to take part in Gaming activity.  The failure to deposit for collection a negotiable instrument by the next banking day following receipt shall be considered an extension of credit.

 

b)         A holder of an Owner's license may extend credit to a patron only in the manner provided in its Internal Control System approved by the Administrator.

 

c)         The Internal Control System shall provide:

 

1)         Each credit transaction is promptly and accurately recorded in appropriate credit records;

 

2)         Credit may be extended only in a commercially reasonable manner considering the assets, liabilities, prior payment history and income of the patron;

 

3)         Policies and procedures for the authorization and issuance of check cashing privileges.  These procedures shall include the approval process for establishing check cashing privileges and setting check cashing limits;

 

4)         Only the following checks may be cashed at a casino cage:

 

A)        Personal checks;

 

B)        Cashier's checks;

 

C)        Money orders;

 

D)        Credit Card Advance Checks;

 

E)        Traveler's checks; and

 

F)         Wire transfer service checks.

 

d)         No credit shall be extended beyond 30 days.  In the event that a patron has not paid a debt created under this Section within 30 days, a holder of an Owner's license shall not further extend credit to the patron while such debt is outstanding.

 

e)         A holder of an Owner's license shall be liable as an insurer, for all collection activities on the debt of a patron, whether such activities occur in the name of the owner or a third party.

 

f)         The holder of an Owner's license shall provide to the Administrator a monthly report detailing credit issued and outstanding, collection activities taken and settlements of all disputed checks and disputed credit card charges.

 

g)         The value of Chips or Tokens issued to a patron upon the extension of credit, the receipt of a check or other instrument or via a complimentary distribution program shall be included in the computation of Gross Receipts.

 

h)         A holder of an Owner's license may not issue nor cause to be issued a Voucher as a means of extending credit.

 

(Source:  Amended at 32 Ill. Reg. 13200, effective July 22, 2008)

 

Section 3000.1060  Handling of Cash at Gaming Tables

 

a)         Each Gaming employee who receives any cash or cash equivalents from a patron in the Gaming area shall promptly place the currency in the drop box.

 

b)         No cash wagers or Vouchers shall be allowed to be placed at any Gaming table. Cash shall be converted to Chips prior to acceptance of a wager.

 

(Source:  Amended at 27 Ill. Reg. 15793, effective September 29, 2003)

 

Section 3000.1070  Tips or Gratuities

 

a)         No dealer shall accept currency as a tip or gratuity from any patron.

 

b)         No Riverboat Gaming Operation Key Person, boxperson, floorperson or any other employee who serves in a supervisory position shall accept any tip or gratuity from any player or patron of the Riverboat Gaming Operation where he is employed.  No Riverboat Gaming Operation Key Person or employee shall solicit any such tip or gratuity.  The holder of an Owner's license shall not permit any practices prohibited by subsection (a) above.

 

c)         All tips and gratuities given to dealers shall be:

 

1)         Immediately deposited in a transparent locked box reserved for that purpose, except that:

 

A)        One dollar Chips received as tips shall be either immediately deposited into the transparent locked box or immediately placed in the clear Chip tube which is permanently mounted on the top of the Gaming table.  Once the Chip tube is full, the floorperson shall witness the exchange of the one dollar Chips for a higher denomination Chip from the Chip rack.  The higher denomination Chip will be immediately deposited into the transparent locked box and the one dollar Chips will be placed in the Chip rack.

 

B)        If Non-Value Chips are received at a roulette table, the marker button indicating their specific value shall not be removed from the slot or receptacle attached to the outer rim of the roulette wheel until after a dealer in the presence of a supervisor has converted them into Value Chips which are immediately deposited in a transparent locked box reserved for the purpose;

 

2)         Accounted for by a recorded count conducted by a randomly selected dealer and a randomly selected non-gaming employee;

 

3)         Placed in a pool for pro rata distribution among the designated employees. Tips or gratuities from this pool shall be deposited into the holder of an Owner's license's payroll account. Distributions from this pool shall be made following the holder of an Owner's license's payroll accounting practices and shall be subject to all applicable state and federal withholding taxes.

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.1071  Admission Tax and Wagering Tax

 

a)         Each holder of an Owner's license ("owner licensee") and licensed manager ("manager") is subject to tax and fee liability assessment for each Gaming Day for the applicable Admission Tax or Admission Fee and the Wagering Tax as imposed under the Act.

 

b)         Admission Taxes and Fees and Wagering Taxes shall be paid via an electronic funds transfer system employing an Automated Clearinghouse Debit method (ACH-Debit).  Each owner licensee and manager shall maintain an account with sufficient funds to pay, in a timely fashion, all tax and fee liabilities due under the Act.  The account shall be maintained at a financial institution capable of making payments to the State under the electronic funds transfer requirements imposed by the State.

 

c)         Admission Taxes and Fees and Wagering Tax liability shall be established on the basis of a Gaming Day.  Each owner licensee and manager shall select, with the approval of the Administrator, a 24 hour cycle to be defined as the uniform Gaming Day for that owner licensee or manager.  A Gaming Day may begin on one calendar day and end the next calendar day, provided that the Gaming Day does not extend beyond the uniform 24 hour period selected in advance by the owner licensee or manager.

 

d)         The Administrator shall prescribe and make available to each owner licensee and manager forms, instructions and reporting requirements for Admission Taxes and Fees and Wagering Taxes.  The required forms include the Daily Tax and Fee Schedules.  The Daily Tax and Fee Schedules may be provided by the Administrator to owner licensees and managers in computer-based format and include a computer program that, upon input by the licensee and manager of requisite data, provides for the calculation of tax and fee reporting information and tax and fee liability.  Daily Tax and Fee Schedules shall be completed for each Gaming Day.  The monthly float adjustment shall be completed on the Daily Tax and Fee Schedule for the final Gaming Day of each month.

 

e)         The Daily Tax and Fee Schedules must be filed with the Board no later than 12:00 noon on the Due Date.  Admission Taxes and Fees and Wagering Tax payments shall be transferred electronically on the Due Date to the Board's designated financial institution by the end of that financial institution's business day.  For purposes of tax and fee schedules and tax and fee payments, the Due Date shall be defined as one bank business day after the close of the Gaming Day for which the liability is established.  For example, if the Gaming Day of an owner licensee or manager ends at 2:00 a.m. on a Tuesday (i.e., the end of a Gaming Day that began on Monday), the Due Date is the Wednesday which follows, unless that Wednesday is not a bank business day, in which case the subsequent bank business day is the Due Date.

 

f)         The Admission Tax for a Gaming Day shall be calculated and imposed on owner licensees as provided in Section 12 of the Act.  From the Gaming Day of August 23, 2005, for a licensee that admitted 1,000,000 persons or fewer in calendar year 2004, the rate is $2 per person admitted, and for all other licensees the rate is $3 per person admitted, except that only one admission tax shall be payable by an owner licensee for each person admitted during the same gaming day.  [230 ILCS 10/12(a)]

 

g)         The Admission Fee for a Gaming Day shall be calculated and imposed on licensed managers as provided in Section 12 of the Act.  For a licensee that admitted 1,000,000 persons or fewer in the previous calendar year, the rate is $3 per person admitted; for a licensee that admitted more than 1,000,000 but no more than 2,300,000 persons in the previous calendar year, the rate is $4 per person admitted; and for a licensee that admitted more than 2,300,000 persons in the previous calendar year, the rate is $5 per person admitted.  [230 ILCS 10/12(a-5)]  This Admission Fee is imposed upon admissions to riverboat gambling operations operated by managers on behalf of the State pursuant to Section 7.3 of the Act.  The Admission Fee shall be paid for each admission, except for the admissions for holders of the Board approved fee-free passes issued to actual and necessary officials and employees of the manager or other persons actually working on the riverboat as provided in the Act. 

 

h)         For any Gaming Day that commences after December 31, 1997 and ends on or before July 1, 2002, the Wagering Tax imposed on the owner licensee shall be based on each calendar year's accumulated Adjusted Gross Receipts and calculated at the following graduated rates:

 

1)         15% of the calendar year Adjusted Gross Receipts up to and including $25,000,000;

 

2)         20% of the calendar year Adjusted Gross Receipts in excess of $25,000,000 but not exceeding $50,000,000;

 

3)         25% of the calendar year Adjusted Gross Receipts in excess of $50,000,000 but not exceeding $75,000,000;

 

4)         30% of the calendar year Adjusted Gross Receipts in excess of $75,000,000 but not exceeding $100,000,000; and

 

5)         35% of the calendar year Adjusted Gross Receipts in excess of $100,000,000.

 

i)          For any Gaming Day that commences on or after July 1, 2002 and ends on or before July 1, 2003, the Wagering Tax imposed on the owner licensee shall be based on each calendar year's accumulated Adjusted Gross Receipts and calculated at the following graduated rates:

 

1)         15% of the calendar year Adjusted Gross Receipts up to and including $25,000,000;

 

2)         22.5% of the calendar year Adjusted Gross Receipts in excess of $25,000,000 but not exceeding $50,000,000;

 

3)         27.5% of the calendar year Adjusted Gross Receipts in excess of $50,000,000 but not exceeding $75,000,000;

 

4)         32.5% of the calendar year Adjusted Gross Receipts in excess of $75,000,000 but not exceeding $100,000,000;

 

5)         37.5% of the calendar year Adjusted Gross Receipts in excess of $100,000,000 but not exceeding $150,000,000;

 

6)         45% of the calendar year Adjusted Gross Receipts in excess of $150,000,000 but not exceeding $200,000,000; and

 

7)         50% of the calendar year Adjusted Gross Receipts in excess of $200,000,000.

 

j)          For any Gaming Day that commences on or after July 1, 2003 and ends on or before July 1, 2005, the Wagering Tax imposed on the owner licensee shall be based on each calendar year's accumulated Adjusted Gross Receipts and calculated at the following graduated rates:

 

1)         15% of the calendar year Adjusted Gross Receipts up to and including $25,000,000;

 

2)         27.5% of the calendar year Adjusted Gross Receipts in excess of $25,000,000 but not exceeding $37,500,000;

 

3)         32.5% of the calendar year Adjusted Gross Receipts in excess of $37,500,000 but not exceeding $50,000,000;

 

4)         37.5% of the calendar year Adjusted Gross Receipts in excess of $50,000,000 but not exceeding $75,000,000;

 

5)         45% of the calendar year Adjusted Gross Receipts in excess of $75,000,000 but not exceeding $100,000,000;

 

6)         50% of the calendar year Adjusted Gross Receipts in excess of $100,000,000 but not exceeding $250,000,000; and

 

7)         70% of the calendar year Adjusted Gross Receipts in excess of $250,000,000.

 

k)         The Wagering Tax imposed under subsection (j) shall no longer be imposed as of any Gaming Day that commences on or after July 1, 2005.

 

l)         For any Gaming Day that commences on or after July 1, 2005, the Wagering Tax imposed on the owner licensee shall be based on each calendar year's accumulated Adjusted Gross Receipts and calculated at the following graduated rates:

 

1)         15% of annual Adjusted Gross Receipts up to and including $25,000,000;

 

2)         22.5% of annual Adjusted Gross Receipts in excess of $25,000,000 but not exceeding $50,000,000;

 

3)         27.5% of annual Adjusted Gross Receipts in excess of $50,000,000 but not exceeding $75,000,000;

 

4)         32.5% of annual Adjusted Gross Receipts in excess of $75,000,000 but not exceeding $100,000,000;

 

5)         37.5% of annual Adjusted Gross Receipts in excess of $100,000,000 but not exceeding $150,000,000;

 

6)         45% of annual Adjusted Gross Receipts in excess of $150,000,000 but not exceeding $200,000,000;

 

7)         50% of annual Adjusted Gross Receipts in excess of $200,000,000.

 

m)       Riverboat gambling operations conducted by a manager on behalf of the State are not subject to the Wagering Tax imposed under Section 13 of the Act.

 

n)         Daily Tax and Fee Schedules shall include all information necessary for adjustments and reconciliation of tax and fee liability and shall be subject to audit by the Board and its audit agents.  Adjustments to previously reported tax and fee information shall be made by the owner licensee or manager, except that no adjustment of $25,000 or more shall be made to previously reported Adjusted Gross Receipts without the prior written approval of the Administrator or the Administrator's designee.

 

o)         Any adjustment for a Gaming Day which commenced on or before December 31, 1997, shall be authorized by the Administrator or the Administrator's designee, and shall be taxed at a rate of 20% of Adjusted Gross Receipts.  Any adjustment for a Gaming Day that commences after December 31, 1997, shall be taxed at the graduated tax or fee rate applicable to the Gaming Day upon which the adjustment is effected.

 

p)         In the event that a Daily Tax and Fee Schedule for a specific Gaming Day properly reflects a net wagering loss experienced by the owner licensee or manager, an adjustment for the amount of any remaining net wagering loss (negative Adjusted Gross Receipts) shall be carried forward on the subsequent Daily Tax and Fee Schedules until such loss is offset by Gaming win (positive Adjusted Gross Receipts).

 

q)         All Admission Taxes and Fees and Wagering Taxes paid pursuant to the requirements of the Act shall be deposited by the Board into the State Gaming Fund or Common School Fund.  The Board shall from time to time transfer excess funds in the State Gaming Fund to the Education Assistance Fund.  The Board shall determine the amount of excess funds subject to transfer to the Common School Fund based upon the addition to the amount of Wagering Taxes that would have been collected if the Wagering Tax rates under subsection (j) were not in effect.  The Board shall determine the amount of excess funds subject to transfer based upon the difference between the State Gaming Fund balance and the outstanding obligations, including any outstanding share of Admission and Wagering Taxes due to local governments, the Horse Racing Equity Fund, a home rule county with a population over 3,000,000, and the Chicago State University.  The Administrator will be responsible for calculating the allocation of the Admission Taxes and Fees and Wagering Taxes between the State and the unit of local government designated as the home dock of the Riverboat and the other required allocations, as provided in the Act.  Payments for Admission Taxes and Fees shall be made by the Board to units of local government quarterly, and payments for Wagering Taxes and all other payments, other than the Common School Fund, shall be made monthly, by voucher/warrant, subject to appropriation.

 

r)          An owner licensee's or manager's failure to comply with the provisions of this Section may subject the owner licensee or manager to penalty and interest amounts pursuant to the Uniform Penalty and Interest Act [35 ILCS 735].  The Administrator is authorized to waive any penalty and interest for the late filing of a tax schedule or late tax payment, if the owner licensee or manager can show good cause.  "Good cause" shall include, but not be limited to, detection and correction of a deficiency in filing or payment that resulted from a documented inadvertent or unintentional error that was corrected within one business day after the applicable Due Date.  The owner licensee or manager shall be notified by the Administrator in writing of any penalty or interest payable because of a late tax schedule filing or late tax payment.  The owner licensee or manager may, within 10 business days after receiving the notice, file a written request for a waiver with the Administrator.  The Administrator shall act on the request for waiver and notify the owner licensee or manager in writing of the decision within 15 calendar days after receiving the request.  If the Administrator fails to act within the 15 day period the waiver is deemed granted.  If the Administrator denies the request for waiver the owner licensee or manager may ask the Board for a hearing.  The request for hearing must be in writing and filed not later than 15 calendar days after receipt of the notice of denial.  Except as provided in this subsection (r), the provisions for hearings under Subpart D shall apply to any hearing conducted under this Section.  A hearing under this Section is not a disciplinary hearing under Subpart K of this Part.

 

(Source:  Amended at 32 Ill. Reg. 7357, effective April 28, 2008)

 

Section 3000.1072  Cash Reserve Requirements

 

Each holder of an Owner's License shall maintain, in cash or cash equivalents, a cash reserve in an amount sufficient to protect patrons against defaults in Gaming debts owed by the holder of an Owner's License.  Cash equivalents are defined as all highly liquid investments with an original maturity of 3 months or less.  The cash reserve requirements and any changes thereto shall be submitted in writing to the Administrator.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1100  Coverage of Subpart

 

The rules contained in this Subpart shall govern all proceedings against a licensee.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1105  Duty to Maintain Suitability

 

All Board licensees have a continuing duty to maintain suitability for licensure.  A Board license does not create a  property right, but is a revocable privilege granted by the State contingent upon continuing suitability for licensure.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1110  Board Action Against License or Licensee

 

When notified of facts sufficient to support the seizure of a gaming device under the Act and Section 3000.282 or disciplinary action against a licensee under the Act or Section 3000.110, the Board may order the seizure of a gaming device(s) or take disciplinary action against a licensee. If the Board orders the seizure of a gaming device(s) or takes disciplinary action, it shall immediately notify the holder of the seized gaming device(s) of the seizure or the licensee of the disciplinary action taken.  Notification shall be by certified mail or personal delivery.  Included with such notification shall be a complaint for either seizure or disciplinary action.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1115  Complaint

 

The complaint shall include a statement of facts supporting the seizure or disciplinary action and the rule or statutory Section with violation of which the licensee is being charged.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1120  Appearances

 

a)         A licensee may be represented by an attorney who is licensed in Illinois.  All attorneys who appear in a representative capacity on behalf of a licensee must file written notice of appearance setting forth:

 

1)         The name, address and telephone number of the attorney(s);

 

2)         The name and address of the licensee represented; and

 

3)         An affirmative statement indicating that the attorney is licensed in Illinois.

 

b)         Only individual attorneys may file appearances.  Any attorney who has not filed an appearance may not address the hearing officer or sign pleadings.

 

c)         An attorney may only withdraw his appearance upon written notice to the hearing officer.

 

d)         A licensee may appear on his own behalf.

 

e)         A partnership may be represented by a partner.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1125  Answer

 

a)         Service of Answer

            Within 21 days from the date of service of the complaint, the licensee shall file his answer by serving copies thereof on the Administrator and Chief Legal Counsel at either the Board's Springfield or Cook County office.  Service may be made by personal delivery, certified mail, postage prepaid, or overnight express mail.  An answer shall be deemed filed on the date on which it is postmarked, or if personally delivered, the date received at the Board's office.  No answer shall be deemed filed if it fails to comply with all the requirements of this Section.  If an answer is not filed within 21 days from the date of service of the complaint, the order or action of the Board becomes a final decision.

 

b)         Answers.

 

1)         Answer shall include:

 

A)        An admission or denial of each factual allegation in the statement of facts in the complaint; and

 

B)        If the licensee denies any of the factual allegations, a revised statement of the denied factual allegations as he believes them to be true.

 

2)         All answers must be verified.  Such verification shall be notarized and shall include a certification in the following form:

            The undersigned certifies that the statements set forth in this answer are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he verily believes the same to be true.

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.1126  Appointment of Hearing Officer

 

a)         The Chairman of the Board may appoint a Board member or an attorney admitted to the practice of law by, and in good standing with, the Illinois Supreme Court as an Administrative Law Judge to conduct a hearing in accordance with this Subpart. If designated, the Administrator may appoint an Administrative Law Judge to conduct a hearing in accordance with this Subpart.

 

b)         If the licensee believes the Administrative Law Judge is biased or has a conflict of interest, the licensee may file with the Board a motion to disqualify the Administrative Law Judge from conducting the hearing.  The motion must be in writing, accompanied by an affidavit signed and dated by the licensee setting forth the specific grounds for disqualification.  The licensee shall serve a copy of the motion on the Administrative Law Judge.  Prior adverse rulings against the licensee or its attorney in other matters shall not, in and of themselves, constitute grounds for disqualification.  On satisfactory evidence submitted by the licensee in support of the motion to disqualify, the Board shall remove the Administrative Law Judge and provide for the reassignment of the case to another Administrative Law Judge to continue the hearing.  Any Administrative Law Judge may voluntarily disqualify himself or herself upon determining that bias or conflict of interest exists.  Grounds for disqualification of an Administrative Law Judge shall include, but not be limited to:

 

1)         Financial interest or pecuniary benefit derived from the gaming industry;

 

2)         Personal friendship with any of the parties, witnesses or attorneys involved;

 

3)         Past representation of any of the parties or witnesses involved; and

 

4)         Demonstrable pre-disposition on the issues.

 

            If the motion to disqualify an Administrative Law Judge is denied, the Board shall set forth in writing the reasons for the denial and the Administrative Law Judge will proceed with the hearing.  The motion to disqualify the Administrative Law Judge and the reasons for the denial of the motion will be part of the administrative record in the appeal of a final administrative decision upon conclusion of the hearing.

 

(Source:  Amended at 22 Ill. Reg. 4390, effective February 20, 1998)

 

Section 3000.1130  Discovery

 

a)         Upon written request served on the opposing party, a party shall be entitled to:

 

1)         The name and address of any witness who may be reasonably expected to testify on behalf of the opposing party; and

 

2)         All documents or other materials in the possession or control of the opposing party, which the opposing party reasonably expects will be necessary to introduce into evidence.  The licensee's burden of production includes those documents the licensee reasonably expects to introduce into evidence either in his case-in-chief or in a rebuttal case.

 

b)         Discovery may be obtained only through written requests to produce witness lists, documents or other materials, as specified in subsection (a) of this Section.  Witnesses and documents responsive to a proper request for production that were not produced shall be excluded from the hearing and additional sanctions or penalties may be imposed.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1135  Motions for Summary Disposition

 

The hearing officer may recommend the granting or denial of a summary judgment motion upon the filing of an appropriate motion by any party. A recommendation for denial of a summary judgment motion shall not be considered by the Board until the completion of proceedings held pursuant to Section 3000.1140.

 

(Source:  Amended at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1139  Subpoena of Witnesses

 

a)         Subpoenas for the attendance of witnesses at hearing may be served by the Petitioner only upon application to the hearing officer.

 

1)         The Petitioner must show good cause, state the testimony to be elicited from a witness, state why the evidence to which the testimony relates cannot otherwise be obtained, and state the reasons why the testimony is necessary and relevant.

 

2)         An agent or employee of the Board may not be required by the Petitioner to appear except under the procedures provided in this Section.

 

b)         The Chief Counsel of the Board or the Administrator may issue subpoenas for the attendance of witnesses or subpoenas duces tecum for the production of relevant documents, records or other material at a proceeding conducted under this Subpart K.

 

(Source:  Added at 21 Ill. Reg. 4642, effective April 1, 1997)

 

Section 3000.1140  Proceedings

 

a)         The licensee bears the burden of rebutting the charges contained in the complaint by clear and convincing evidence.

 

b)         All testimony shall be given under oath or affirmation.

 

c)         Both parties may present an opening statement on the merits.  The Board proceeds first.

 

d)         The Board shall then present its case.

 

e)         Upon conclusion of the Board's case, the licensee may move for a directed finding.  The hearing officer may hear arguments on the motion or may grant, deny or reserve decision thereon, without argument.

 

f)         If no motion of directed finding is made, or if such motion is denied or decision reserved thereon, the licensee may present its case.

 

g)         Each party may conduct cross-examination of adverse witnesses.

 

h)         Upon conclusion of the licensee's case, the Board may present evidence in rebuttal.

 

i)          If the Board presents rebuttal evidence, the licensee may present additional, non-cumulative, evidence in surrebuttal.

 

j)          Both parties may present closing argument.  The licensee proceeds first, then the Board and thereafter the licensee may present rebuttal argument.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1145  Evidence

 

a)         The hearing need not be conducted according to technical rules of evidence.  Any relevant evidence may be admitted and shall be sufficient in itself to support a finding if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in a civil action.

 

1)         If relevant, official Illinois Gaming Board records or certified copies thereof shall be admissible into evidence if such records tend to prove or disprove an allegation contained in the complaint.

 

2)         Official Illinois Gaming Board records are documents either prepared by or provided to the Board for the purpose of conducting its regular business.

 

b)         The parties should, to the fullest extent possible, stipulate to all matters which are not or fairly should not be in dispute.

 

c)         The parties may make objections to evidentiary offers.  When an objection is made, the hearing officer may receive the disputed evidence subject to a ruling at a later time.

 

d)         The hearing officer may take official notice of any generally accepted information or technical or scientific matter within the field of gaming, and any other fact which may be judicially noticed by courts of this State.  The parties shall be informed of any information, matter or facts so noticed, including any staff memoranda or data, and shall be given reasonable opportunity to refute such information.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1146  Prohibition of Ex Parte Communication

 

No party or its representative shall communicate directly or indirectly with the hearing officer regarding any pending matter, except upon notice to and opportunity for all parties to participate.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1150  Sanctions and Penalties

 

a)         The hearing officer may impose sanctions and penalties if the hearing officer finds that a party has acted in bad faith, for the purpose of delay, or has otherwise abused the hearing process.  Such sanctions and penalties include but are not limited to default judgment or directed finding on one or more issues.

 

b)         If a licensee fails to testify on his own behalf with respect to any question propounded to him, the hearing officer may infer therefrom that such testimony or answer would have been adverse to the licensee's case.

 

c)         Failure of a licensee to appear at a hearing shall constitute an admission of all matters and facts contained in the complaint.  In such cases the hearing officer may take action based upon such admission or upon any other evidence, including affidavits, without any further notice to the licensee.

 

(Source:  Added at 17 Ill. Reg. 11510, effective July 9, 1993)

 

Section 3000.1155  Transmittal of Record and Recommendation to the Board

 

a)         The record shall consist of the following:

 

1)         The Complaint, the Answer and all motions and rulings thereon;

 

2)         All evidence received;

 

3)         A statement of matters officially noticed;

 

4)         Offers of proof, objections and rulings thereon;

 

5)         The recommendations and any findings of fact and conclusions of law made by the hearing officer.

 

b)         Oral proceedings or any part thereof involving contested issues shall be recorded stenographically or by such other means as to adequately insure the preservation of such testimony or oral proceedings and shall be transcribed on request of any party.  Said transcript shall be paid for by the requesting party.

 

c)         Upon conclusion of the hearing, the hearing officer shall issue to the Board and the licensee written findings of fact and conclusions of law and his recommendation as to seizure or disciplinary action.  Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

 

d)         Any party to the hearing may file exceptions to the recommendations of the hearing officer with the Board no later than 14 days after receipt of the recommended decision.  Exceptions shall specify each finding of fact and conclusion of law to which exception is taken.  There shall be no oral argument on exceptions.

 

e)         Final Board Order

 

1)         The Board shall review the entire record, including any exceptions filed, and shall render a written order including the bases for its decision.

 

2)         Copies of the final Board order shall be served on a licensee by personal delivery, certified mail or overnight express mail.

 

3)         A final Board order shall become effective upon personal delivery to a party or upon posting by certified mail.

 

(Source:  Amended at 41 Ill. Reg. 380, effective December 29, 2016)